Mondaq UK: Corporate/Commercial Law > Securities
Walkers
The Consultation is specifically relevant for UCITS management companies and investment managers as their delegates ("Managers"), institutional investors, retail investors and relevant trade organisations.
Dentons
The ESMA has published its annual peer review report on the overall supervision of EU Central Counterparties (CCPs) by National Competent Authorities (NCAs).
Dentons
The bulk of the new EU Prospectus Regulation 2017/1129 (the Regulation) took effect on 21 July 2019.
Ocorian
Following the application of the 2018 European Union Securitisation Regulation from 1 January 2019, Ocorian's Director of Transaction Management, Chris Wilson, examines the practical impact on the provision of corporate services.
Dentons
The EU Council has had a busy month, adopting two new directives which will strengthen employees' rights.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On August 8, 2019, the Securities and Exchange Commission (SEC) announced proposed amendments to modernize the rules requiring description of business
Kirkland & Ellis International LLP
A recent Federal appellate court decision on potential liability of board observers under the securities laws is a useful reminder that the legal status
Herbert Smith Freehills
In this blog post, we round-up forthcoming developments in the UK and at EU and International levels in financial services regulation for August 2019.
Hogan Lovells
The FCA has published the findings of a review into how successfully the SMCR is embedded into the banking sector.
Shearman & Sterling LLP
On 4 April 2019, the Takeover Panel published amendments to the Takeover Code that will take effect on exit day (i.e., currently 31 October 2019).
DLA Piper
On Sunday, 21 July 2019, the Prospectus Regulation (Regulation EU/2017/1129, the "Prospectus Regulation") entered into force, replacing the prospectus directive as implemented within the EU.
Shearman & Sterling LLP
ESMA announced on 23 May 2019 that it has updated its Q&A on the Benchmarks Regulation. The update to the Benchmarks Regulation Q&A includes new Q&A clarifying:
Hogan Lovells
The FCA has published a speech by Andrew Bailey, Chief Executive of the FCA, given at the Securities Industry and Financial Markets Association's (SIFMA) LIBOR Transition Briefing in New York
Cleary Gottlieb Steen & Hamilton LLP
In May 2019, the UK Jurisdiction Taskforce of the LawTech Delivery Panel published its public consultation paper on the status of cryptoassets and distributed ledger technology, as well as the enforceability of smart contracts, ...
Hogan Lovells
The UK Financial Conduct Authority (FCA) has published an update relating to the extension of the senior managers and certification regime (SMCR) to FCA solo-regulated firms
DLA Piper
On July 8, 2019, the Securities and Exchange Commission and the Financial Industry Regulatory Authority issued a long-awaited Joint Statement addressing the ways in which the federal securities laws
Cleary Gottlieb Steen & Hamilton LLP
The changes would apply to certain connected-company transactions July 12, 2019.
DLA Piper
To remain competitive, companies find themselves increasing their efforts to digitally transform their businesses by developing new offerings based on emerging technologies
Cleary Gottlieb Steen & Hamilton LLP
On 9 July, the UK Information Commissioner's Office issued a notice of its intention to fine Marriott International, Inc. £99,200,396 for alleged infringements of the EU General Data Protection Regulation ...
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
Guidance and no-action decisions from the staff of the SEC's Division of Corporation Finance provide important guideposts, but the path forward on many shareholder proposals remains murky.
Most Popular Recent Articles
Cleary Gottlieb Steen & Hamilton LLP
In May 2019, the UK Jurisdiction Taskforce of the LawTech Delivery Panel published its public consultation paper on the status of cryptoassets and distributed ledger technology, as well as the enforceability of smart contracts, ...
Cleary Gottlieb Steen & Hamilton LLP
On 9 July, the UK Information Commissioner's Office issued a notice of its intention to fine Marriott International, Inc. £99,200,396 for alleged infringements of the EU General Data Protection Regulation ...
Hogan Lovells
The FCA has published the findings of a review into how successfully the SMCR is embedded into the banking sector.
Dentons
The ESMA has published its annual peer review report on the overall supervision of EU Central Counterparties (CCPs) by National Competent Authorities (NCAs).
Shearman & Sterling LLP
On 4 April 2019, the Takeover Panel published amendments to the Takeover Code that will take effect on exit day (i.e., currently 31 October 2019).
Hogan Lovells
The FCA has published a speech by Andrew Bailey, Chief Executive of the FCA, given at the Securities Industry and Financial Markets Association's (SIFMA) LIBOR Transition Briefing in New York
Walkers
The Consultation is specifically relevant for UCITS management companies and investment managers as their delegates ("Managers"), institutional investors, retail investors and relevant trade organisations.
DLA Piper
On July 8, 2019, the Securities and Exchange Commission and the Financial Industry Regulatory Authority issued a long-awaited Joint Statement addressing the ways in which the federal securities laws
Hogan Lovells
The UK Financial Conduct Authority (FCA) has published an update relating to the extension of the senior managers and certification regime (SMCR) to FCA solo-regulated firms
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
This quarter's issue includes summaries and associated court opinions of selected cases principally decided between February and April 2019.
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