Mondaq All Regions: Finance and Banking
McCarthy Tétrault LLP
On October 31, 2017, the British Columbia Securities Commission (BCSC) published a blanket order granting new exemptions to the prospectus requirement to British Columbia issuers ...
Fangda Partners
The fifth National Financial Work Conference (the "Conference"), held from July 14 to 15, 2017, demonstrated that the Chinese government gives high priority to reducing financial risks...
Norton Rose Fulbright Canada LLP
There has been published in the Official Journal of the EU (OJ), Commission Delegated Regulation (EU) 2017/2295 of 4 September 2017 supplementing the Capital Requirements Regulation with regard to regulatory technical standards...
Khaitan & Co
Non-banking financial companies ("NBFC") have undergone significant transformation over the past few years. Liberalisation of the legal regime, increasing digitisation and rising financial inclusion have given a boost to innovation, growth and investment in the financial sector.
Arthur Cox
Following on from the European Commission's recent proposal to amend EMIR, the EU Council (in its most recent compromise text) has suggested taking most physically-settled FX forwards out...
CBA Studio Legale e Tributario
Before 2012, there was quite limited case law in respect of consequences triggered by breach of the Limit.
CBA Studio Legale e Tributario
This newsletter does not consider the criminal aspects of usury and only deals with objective usury.
Eryürekli Attorney Partnership
This legal alert aims to set out the terms of General Letter No. 808 released by Central Registry Agency in Turkey on December 12, 2017 regarding "SWIFT Balance Notification" to be disclosed to foreign custodians.
Eryürekli Attorney Partnership
This legal alert aims to set forth the amendment of Capital Markets Board of Turkey on the Communiqué on Sales of Capital Market Instruments numbered II-5.2.
Eryürekli Attorney Partnership
This legal alert aims to set forth the amendment of Capital Markets Board of Turkey on the Communiqué on Principles Regarding Record Keeping of Dematerialized Capital Markets Instruments numbered II-13.1.
Deloitte
On 23 November, the FCA published a report on the compliance function in wholesale banks. In January this year, the FCA sent a questionnaire to 22 wholesale banks ...
Travers Smith LLP
On 13 December 2017, the FCA published a package of consultation papers (the December CPs) as part of its proposals for extending the Senior Managers & Certification Regime (SMCR) to all FCA firms.
Norton Rose Fulbright Canada LLP
There has been published on the legislation.gov.uk website, The Financial Services and Markets Act 2000 (FSMA 2000) (Markets in Financial Instruments) (No 2) Regulations 2017 (the Regulations).
Womble Bond Dickinson
UK Finance has published guidance for firms on product governance and retail costs and charges under MiFID 2.
BakerHostetler
In the past few years, and particularly in the past few months, cryptocurrencies or digital currencies – most notably bitcoin and ether
Kramer Levin Naftalis & Frankel LLP
The Fund does not directly pay a management fee with respect to any period during which the only investment securities held by the Fund are those of the Master Fund.
Pryor Cashman LLP
State bank regulators and attorneys general appear prepared to step into the breach in 2018 if the Consumer Financial Protection Bureau faces cutbacks under new Trump administration management.
Kramer Levin Naftalis & Frankel LLP
In a Dec. 6 open letter to CFTC chairman Christopher Giancarlo, FIA CEO and President Walt Lukken outlined concerns with the process in which cryptocurrency futures have come to market.
Kramer Levin Naftalis & Frankel LLP
JPMorgan Asset Management unveiled the JPMorgan Event Driven ETF, the firm's debut single-strategy alternative beta ETF.
Kramer Levin Naftalis & Frankel LLP
Alternative investment management firm FS Investments entered into an agreement with KKR to create the largest business development company (BDC) platform, with $18 billion in combined AUM.
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Vinod Kothari & Co.
This article shall deal with material FAQs on Section 14 of the Securitisation and Reconstruction of Financial Assets and Enforcement of Security Interest Act, 2002.
Surry Partners
Parents should document any funding arrangement of a family property purchase, to avoid the risk of a costly dispute.
Norton Rose Fulbright Australia
Businesses should regularly review their insurance policies and consider the scope of cover and existing policy limits.
Holley Nethercote commercial & financial services lawyers
Similar to past AUSTRAC risk assessments, this report has a broad application to the whole financial services industry.
Worrells Solvency & Forensic Accountants
Section 588FDA of the Corporations Act provided that it was voidable as an unreasonable director-related transaction.
Surry Partners
Our view is that an unregistered mortgage should rarely be accepted by a lender as a principal form of security.
DibbsBarker
AFCA will replace FOS, CIO and SCT, the three dispute resolution services currently in the banking and finance sector.
Corrs Chambers Westgarth
Principals and head contractors should be aware of (and comply with) the changes, or risk being in breach of the new Act.
Cooper Grace Ward
When negotiating any contract, you must carefully consider the wording of any terms relating to a bank guarantee.
Kemp Strang Lawyers
This case should provide comfort to parents or other parties who consider assisting individuals to purchase a property.
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