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Regulation and Compliance
Found 489 legal briefings
FSA discussion paper on AIFMD: how will non-EU fund managers be affected?
In January 2012, the FSA issued a discussion paper on the implementation of the Alternative Investment Fund Managers Directive. This briefing from Bingham McCutchen sets out a summary of the principal issues affecting third country fund managers seeking to market funds within the European Union.
Law Firm: Bingham McCutchen | Published: 08 February 2012 | Practice Area: Regulation and Compliance
Financial services update: ESMA on exchange-traded funds; CRA legislation; EC compromises on EMIR
The weekly financial services update includes details on ESMA's guideline proposals on UCITS exchange-traded funds and other UCITS-related issues; new legislative proposals for credit rating agencies; a regulator's viewpoint on MiFID II; and the Financial Conduct Authority on future regulation.
Law Firm: Macfarlanes LLP | Published: 07 February 2012 | Practice Area: Regulation and Compliance
Asia corporate update - Hong Kong's ESG Guide; posting regulatory filings; PRC foreign investment catalogue
This edition of DLA Piper's Asia corporate newsletter focuses on the Hong Kong Stock Exchange's consultation paper on a proposed environmental, social and governance guide; new advice on posting regulatory filings on issuers' own websites; and the PRC's new foreign investment catalogue.
Law Firm: DLA Piper | Published: 06 February 2012 | Practice Area: Regulation and Compliance
Chinese investment gets easier - holding companies, VAT, renminbi and FDI reform
The Chinese economy continues to grow and modernise, and the Government recognises that existing systems and structures are no longer suitable for the state of development. In this briefing, Wragge & Co outline the changes being made to ensure the current regime meets demand.
Law Firm: Wragge & Co | Published: 03 February 2012 | Practice Area: Corporate Financing
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2 people found this useful
Record FSA fine for ex-CEO's fraud - what can be learnt?
On 31 January 2012, the FSA published findings of fraud and the imposition of a fine of £2,867,000 against Ravi Shankar Sinha, the former chief executive officer of JC Flowers' FSA-regulated European private equity business. This briefing details the case in full and outlines the key messages.
Law Firm: Travers Smith | Published: 03 February 2012 | Practice Area: Regulation and Compliance
Financial services update: ESMA on short selling; new principles for CISs; Financial Conglomerates Directive
The weekly financial services update from Macfarlanes includes details on the FSA Discussion Paper on AIFMD implementation; ESMA's consultation paper on short selling and credit default swaps; IOSCO's nine principles on suspensions of redemption of in collective investment schemes; and much more.
Law Firm: Macfarlanes LLP | Published: 31 January 2012 | Practice Area: Regulation and Compliance
Rating: 2 people found this useful
Bankers’ bonuses on the racks again as Government set to clamp down on cronyism
In previous economic downturns, calls for change to executive pay went unheeded. However, this time it looks different. Writing exclusively for Legal Week, Freshfields' Simon Evans and Alice Greenwell examine whether the Government's pay proposals will drive change.
Law Firm: Freshfields Bruckhaus Deringer | Published: 30 January 2012 | Practice Area: Central Government
Rating: 2 people found this useful
The City's view on regulation - time to draw the line?
This detailed survey from Eversheds canvassed around 200 senior level decision-makers in the City to assess the current regulation the City is facing and examinines how the ongoing reform of the City's regulatory framework will impact on the UK's financial services sector.
Law Firm: Eversheds | Published: 30 January 2012 | Practice Area: Regulation and Compliance
Rating: 4 people found this useful
Wall-crossings and market abuse - a cautionary tale?
The recently published David Einhorn / Greenlight Capital Inc FSA Decision Notices demonstrate that wall-crossings are again in the regulatory spotlight. This briefing considers the practical implications of the two related FSA Decision Notices, in the context of wall-crossings and market abuse.
Law Firm: Macfarlanes LLP | Published: 30 January 2012 | Practice Area: Regulation and Compliance
Rating: 8 people found this useful
Banking on change: the Government's response to the Vickers Report
The Independent Commission on Banking published its final recommendations on the reform of the UK banking system in September last year. Writing exclusively for Legal Week, Simmons' James Bresslaw outlines the UK Government's response to the ICB's recommendations for reform.
Law Firm: Simmons & Simmons | Published: 27 January 2012 | Practice Area: Regulation and Compliance
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