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1
Brexit: UK Supreme Court Holds That An Act Of Parliament Is Necessary To Trigger Brexit Negotiations
The Supreme Court has upheld the High Court's decision in Miller v Secretary of State for Exiting the European Union.
UK
1 Feb 2017
2
MiFID II Implementation Delayed To 2018
The Council of the European Union has adopted legislation to delay the application of the Markets in Financial Instruments Directive and Markets in Financial Instruments Regulation by one year.
European Union
29 Jun 2016
3
MiFID II: Access To EU Markets For Third Country Investment Firms
This note discusses the MiFID II regime for access by financial institutions located outside the EU to EU customers and markets.
United States
16 May 2016
4
BRRD: Contractual Recognition Of Bail-In And Resolution Stays
The EU Bank Recovery and Resolution Directive gives resolution authorities in Europe wide-ranging powers to manage failing financial institutions.
European Union
1 Mar 2016
5
Implementation Issues Arising From The Revised UK Senior Manager And Certification Regime
The Senior Manager and Certification Regime will apply from 7 March 2016 to banks, building societies, credit unions and certain large investment firms established in the UK, including UK subsidiaries of overseas firms.
UK
11 Nov 2015
6
Extraterritoriality: SEC Proposes Cross-Border Security-Based Swap Rules Regarding U.S.-Based Activity
The SEC's proposed rules, consistent with its other proposals and prior statements, clearly assert jurisdiction over security-based swap transactions between non-US persons that are arranged, negotiated or executed by US personnel.
United States
11 May 2015
7
Comptroller Of The Currency Discusses The Supervision Of Federal Branches And Agencies Of Foreign Banks
On December 3, 2014, Comptroller of the Currency Thomas J. Curry discussed the OCC approach to supervising federal branches and agencies of foreign banks. His remarks highlighted the OCC philosophy that supervision is specifically tailored to each individual branch or agency rather than an attempt to implement a one-size-fits-all approach. Main talking points centered on collaboration with foreign jurisdictions, cybersecurity and compliance with the Bank Secrecy Act and Anti-Money Laundering law
United States
22 Dec 2014
8
US Securities And Exchange Commission Issues Proposal On Municipal Asset-Backed Securities-Related Disclosure
On December 1, 2014, the US Securities and Exchange Commission ("SEC") and the US Municipal Securities Rulemaking Board ("MSRB") issued a proposed rule adding municipal asset-backed securities-related disclosure required under Securities Exchange Act of 1934 Rule 15Ga-1 to the list of categories of continuing disclosures that the MSRB’s Electronic Municipal Market Access ("EMMA") will continue to accept and distribute publicly.
United States
22 Dec 2014
9
Comptroller Of The Currency Discusses Efforts To Reduce Regulatory Burden
On December 2, 2014, Comptroller of the Currency Thomas J. Curry urged public and industry participation in the federal banking regulators’ decennial review to recognize regulations that are outdated and unnecessary.
United States
19 Dec 2014
10
US Commodity Futures Trading Commission Announces Agenda For Upcoming Agricultural Advisory Committee Meeting
On December 4, 2014, the CFTC announced the agenda for the upcoming Agricultural Advisory Committee meeting on Tuesday, December 9, 2014, at its headquarters in Washington, DC.
United States
19 Dec 2014
11
US Commodity Futures Trading Commission To Reopen Comment Period For Position Limit Rulemaking
On December 1, 2014, the US Commodity Futures Trading Commission announced that it will reopen the comment period for 45 days on its Position Limit Rulemaking.
United States
19 Dec 2014
12
New York Federal Reserve Creates Integrated Policy Analysis Group
On December 3, 2014, the Federal Reserve Bank of New York announced the formation of the Integrated Policy Analysis Group.
United States
18 Dec 2014
13
Revised FFIEC BSA/AML Examination Manual
The Federal Financial Institutions Examination Council released the revised Bank Secrecy Act/Anti-Money Laundering Examination Manual.
United States
18 Dec 2014
14
The Basel Committee Assesses The EU Implementation Of The Basel Capital Framework
On December 5, 2014, the Basel Committee published a report assessing the European Union’s implementation of the Basel capital framework.
European Union
18 Dec 2014
15
Changes To Federal Reserve Board Policy On Payment System Risk
On December 1, 2014, the US Board of Governors of the Federal Reserve System issued changes to part II of the Federal Reserve Policy on Payment System Risk.
United States
17 Dec 2014
16
Financial Regulatory Developments Focus - December 9, 2014
In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest.
United States
17 Dec 2014
17
The Basel Committee Issues Report Assessing The US Implementation Of The Basel Capital Framework
On December 5, 2014, the Basel Committee on Banking Supervision issued a report assessing US implementation of the Basel capital framework.
United States
17 Dec 2014
18
MiFID II: The Regulation of Market Makers
MiFID II introduces new laws addressing various structural and other issues relating to the operation of trading venues.
United States
10 Oct 2014
19
Financial Regulatory Developments Focus - August 5, 2014
In this newsletter, we provide a snapshot of the principal European, US and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructures, asset managers and corporates.
United States
8 Aug 2014
20
Financial Regulatory Developments Focus - July 23, 2014
ESMA published a letter from the European Commission (dated July 8, 2014) in response to ESMA's letter on May 8, 2014 regarding the frontloading issue under EMIR.
Worldwide
5 Aug 2014
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