Mondaq UK: Finance and Banking > Financial Services
Pinsent Masons LLP
The European Parliament has adopted an agreement which will remove the barriers to the cross-border distribution of investment funds sold under European directives.
Shearman & Sterling LLP
ESMA published an updated version of its Questions and Answers (Q&As) on the Transparency Directive and its separate Q&As on the Prospectus Directive on 31 January 2019.
Shearman & Sterling LLP
On 10 January 2019, the Technical Expert Group (TEG) set up by the European Commission ("Commission") to assist in four
Squire Patton Boggs LLP
The Opportunity Zone program was created by the 2017 Tax Cuts and Jobs Act, to allow investors the "opportunity" to defer paying tax on gains from selling property by investing the proceeds from the sale...
Squire Patton Boggs LLP
On May 3, 2019, the Internal Revenue Service released Private Letter Ruling 201918008. The IRS concluded
Charles Russell Speechlys
Our summary of the changes for collective investment vehicles and corporate taxpayers
Dechert
On February 12 2019 the UK Parliament passed the Crime (Overseas Production Orders) Act 2019 (the "COPO Act").
Rahman Ravelli Solicitors
Greater use of technology to identify the risks of money laundering and other financial crime is being considered by the UK's Financial Conduct Authority (FCA).
Clyde & Co
Judge decides costs can be awarded in foreign currency and considers witness evidence issue
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
The U.K. Financial Conduct Authority (FCA) has issued its first antitrust decision since obtaining competition law powers four years ago. The decision is a controversial one. It sets the FCA
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On March 6, 2019, the Commodity Futures Trading Commission's (CFTC or Commission) Division of Enforcement (Division) published an advisory on self-reporting and cooperation for violations of the Commodity Exchange Act.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
The Commodity Futures Trading Commission (CFTC) is considering how smart contract applications on the blockchain implicate its jurisdiction and enforcement authority.
Mayer Brown
There has been a strong surge in recent years of large institutional investors such as state retirement plans and sovereign wealth funds making use of separately managed accounts ...
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On April 25, 2019, the Commodity Futures Trading Commission (CFTC or Commission) published for public comment proposed amendments to the rules governing swap data repositories (SDRs)
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
Financial institutions and their employees may be subject to the following federal pay-to-play rules: SEC Rule 206(4)-5 for investment advisers; CFTC Rule 23.451
Mayer Brown
The England and Wales Court of Appeal has handed down a judgment which clarifies the circumstances in which a Quistclose trust,
Mayer Brown
Recently, the English High Court delivered its decision in Atlantica Holdings, Inc & Anor v Sovereign Wealth Fund & Ors [2019] EWHC 319 (QB)
Squire Patton Boggs LLP
In Radia v Jeffries International Limited, UKEAT/0123/18 the Employment Appeal Tribunal ("EAT") held that an employer, Jeffries International Limited ("Jeffries"),
Mayer Brown
"If you join the game you must play according to the local rules", as the adage goes.
Squire Patton Boggs LLP
A recent speech by the Director of Enforcement and Market Oversight at the Financial Conduct Authority ("FCA") has highlighted the progress of the partly contested process for disciplinary action.
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Dentons
This Client Alert assesses the most recent updates on the Servicing Directive and the merits of the discussion outlined in the "progress report".1
Mayer Brown
Recently, the English High Court delivered its decision in Atlantica Holdings, Inc & Anor v Sovereign Wealth Fund & Ors [2019] EWHC 319 (QB)
Dentons
In our December 2017 article What now for LIBOR in finance documents?, we considered the initial reaction of regulators, industry bodies and market participants to the prospect that LIBOR might no longer exist after 2021.
BCL Solicitors LLP
An increasing number of people are finding themselves on the receiving end of summary forfeiture proceedings in the magistrates' court ...
Matheson
On 24 January 2019, the Irish funds industry representative association, Irish Funds, made a submission to the Central Bank of Ireland ("Central Bank") ...
BCL Solicitors LLP
The so-called "Troika Laundromat" fraud, uncovered after one of the largest banking information leaks ever, highlights the ever-growing importance for those within the regulated sector to implement robust CDD policies...
Rahman Ravelli Solicitors
Italy's UniCredit bank and two subsidiaries are paying $1.3 billion to US authorities to settle allegations of breaching sanctions.
Morrison & Foerster LLP
In this alert, we provide an update on EU regulatory issues that are relevant to all managers of alternative investment funds, both for European and non-European funds.
4 New Square Chambers
Ben Hubble QC and Miles Harris of 4 New Square look at the potential impact of reforms suggested by the Kingman Review and the Competition & Market Authority's Update Paper on the audit sector.
Squire Patton Boggs LLP
In Radia v Jeffries International Limited, UKEAT/0123/18 the Employment Appeal Tribunal ("EAT") held that an employer, Jeffries International Limited ("Jeffries"),
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