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Financial Services Regulation
Found 300 legal briefings
Financial Services Regulation
New draft Anti-Commercial Fraud Law in the UAE
A new draft Anti-Commercial Fraud Law was endorsed in January 2013 by the Cabinet in the UAE. This draft law is aimed at protecting consumers and regulating the market in the UAE. This article explores how it will impact upon the existing legal framework for addressing counterfeiting in the UAE.
Law Firm: Al Tamimi & Company | Published: 22 May 2013 | Practice Area: Trademarks
New diversity, human rights and anti-corruption disclosures proposed by European Commission
As previously announced in its Company Law and Corporate Governance Action Plan, the EC has published a draft directive to amend EU accounts legislation to require large companies and groups to include additional disclosures of social, environmental and diversity information in their annual reports.
Law Firm: Linklaters | Published: 24 April 2013 | Practice Area: Regulation and Enforcement
Nestor Healthcare Group Limited – a fine not to forget
Nestor Healthcare Group was recently fined £175,000 by the FSA for failure to take all proper and reasonable steps to ensure that its persons discharging managerial responsibility complied with minimal procedural standards. Eversheds outlines the implications for listed and regulated companies.
Law Firm: Eversheds | Published: 08 April 2013 | Practice Area: Regulation and Compliance
Rating: 
1 person found this useful
Changes in money laundering requirements on the horizon
Following announcements of penalties against HSBC and Standard Chartered at the tail end of 2012, the EC has now published its re-working of the Money Laundering Directive. Authorised firms will need to consider the implications. Bond Pearce provides an overview of the headline proposals.
Law Firm: Bond Dickinson | Published: 04 April 2013 | Practice Area: Anti Money Laundering
Rating: 4 people found this useful
Signs of spring: challenges and changes at the Serious Fraud Office
In this briefing, Baker & McKenzie surveys the relevant criticism of the SFO, provides an update on enforcement of the UK Bribery Act - including the outlook for 2013 - and underscores the implications of changes at the SFO for multinational corporate compliance programs.
Law Firm: Baker & McKenzie | Published: 26 March 2013 | Practice Area: Financial Crime and Fraud
Rating: 7 people found this useful
AIFMD survey; new FSA handbooks – weekly financial services regulatory update
Macfarlanes’ latest regulatory update details a new survey launched by the Financial Services Authority (FSA) to better understand the potential number, nature and timing of applications that will be received from UK fund managers seeking authorisation or registration under the AIFMD.
Law Firm: Macfarlanes LLP | Published: 22 March 2013 | Practice Area: Regulation and Compliance
Fine tuning the whistle-blowing legislation
Whistle-blowing has been high on the news agenda in recent weeks. In this article, Bond Pearce looks at how the law on whistle-blowing is developing, including the case of Onyango v Berkeley (t/a Berkeley Solicitors), and also highlights the forthcoming changes to whistle-blowing legislation.
Law Firm: Bond Dickinson | Published: 06 March 2013 | Practice Area: Corporate Governance
Rating: 3 people found this useful
The correlation of money laundering and fraud from a practical perspective
International agreements and UAE national laws strongly associate money laundering with fraud. In this article, Al Tamimi explores the connection between both these crimes and provides a detailed analysis of the Emirates' practical approach to combating money laundering.
Law Firm: Al Tamimi & Company | Published: 04 March 2013 | Practice Area: Financial Crime and Fraud
Rating: 1 person found this useful
Financial services update: 4th Money Laundering Directive; ECB Opinion on UCITS; key information documents
Macfarlanes' financial services update reviews the 4th Money Laundering Directive; European Central Bank's Opinion on UCITS V; key information documents for investment products; ESMA guidelines on market making and primary dealer exemptions; Basel Committee's report on risk-weighted assets.
Law Firm: Macfarlanes LLP | Published: 12 February 2013 | Practice Area: Regulation and Compliance
Rating: 2 people found this useful
Are DPAs the "next instrument in the battle against economic crime"?
In October 2012, the Government confirmed that deferred prosecution agreements, will be introduced in England and Wales. A DPA is a written agreement between a prosecutor and a company which results in a prosecution being deferred and eventually dismissed if the company abides by certain condition.
Law Firm: Eversheds | Published: 29 January 2013 | Practice Area: Financial Crime and Fraud
Rating: 1 person found this useful
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