Searching Content indexed under Finance and Banking by K&L Gates ordered by Published Date Descending.
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Gibraltar Issues Statement On Initial Coin Offerings
The Gibraltar Financial Services Commission (GFSC) issued a statement on initial coin offerings on 22 September.
10 Oct 2017
The Negative Pledge And Disposal Restrictions: Carve-Outs And Remedies For Breach
A simple loan agreement will set out the terms of the debt and interest provisions, repayment and acceleration events. That sort of agreement is often sufficient for intragroup or shareholder debt.
9 Oct 2017
Amendments To Form ADV: Practical Considerations
Beginning on October 1, 2017, all investment advisers filing Form ADV must use an amended version of Part 1A of the Form that contains several new and revised items.
United States
4 Oct 2017
Steady Steps Forward For Qatar
As the crisis between the GCC remains unresolved, the adverse impact of the crisis and the blockade on Qatar cannot be ignored.
3 Oct 2017
Islamic Finance News Europe Forum 2017
The Islamic Finance News Europe Forum 2017 took place in London on 11 September.
European Union
25 Sep 2017
Final 2017 TRID Rule Does Little To Ease Liability Concerns; Proposed Legislation Already In The Works To Address Shortcomings
Nearly two years after the TILA-RESPA Integrated Disclosure rule went into effect (on October 3, 2015) and one year after the CFPB closed a comment period on a NPRM to adjust and clarify the rule, ...
United States
15 Sep 2017
Chancery Court Denies Motion To Dismiss And Allows Derivative Suit Against Board Members To Continue
In H&N Management Group, Inc. & Aff Cos Frozen Money Purchase Plan v. Robert M. Couch et al., No. 12847-VCMR (Del. Ch. Ct. August 1, 2017), the Court of Chancery denied defendants' motion to dismiss and ...
United States
6 Sep 2017
Corporate Collective Investment Vehicles Introduced
The Government has today released an exposure draft of legislation introducing corporate collective investment vehicles into the Australian market for the first time.
31 Aug 2017
Spokeo Redux: Ninth Circuit Holds That A Statutory Violation Under FCRA May, Without More, Establish A Concrete Injury For Purposes Of Article III Standing
The Ninth Circuit has opined, again, on whether a statutory violation of the Fair Credit Reporting Act ("FCRA"), 15 U.S.C. §§ 1681, et seq.—by itself—constitutes a concrete injury for Article III standing purposes.
United States
31 Aug 2017
APRA Proposes Reforms To The ADI Licencing Regime
On 15 August 2017, the Australian Prudential Regulating Authority (APRA) published a discussion paper entitled ‘Licensing: A phased approach to authorising new entrants to the banking industry‘.
29 Aug 2017
Quick Link Guide for MiFID II Guidance
For convenience, we have also including links to several regulators' websites that contains useful information.
23 Aug 2017
OCIE Observations From The Second Round Of Cybersecurity Examinations
On August 7, 2017, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations released a risk alert summarizing observations from the second round of cybersecurity sweep examinations ...
United States
22 Aug 2017
DAO And The Art Of Securities Regulation: SEC Clarifies That Digital Tokens May Be Securities
The rapid rise of distributed ledger technology and the spate of recent initial coin offerings ("ICOs") have focused attention on whether, and in what circumstances, virtual currencies and digital tokens may be securities whose offer ...
United States
18 Aug 2017
FCA Comments On The Extraterritorial Effect Of MiFID II
In a letter to the AIMA made available to AIMA members on Monday, August 7, the FCA responded to a request from AIMA seeking interpretation and guidance on MiFID II requirements...
United States
18 Aug 2017
Proposed APRA Powers Over Non-Bank Lenders
Treasury has pointed out that these powers do not equate to ongoing regulation and supervision by APRA of non-bank lenders.
18 Aug 2017
All In This Together: New FinTech Partnership In Abu Dhabi
Both parties said that they would like to encourage entrepreneurship, foster ethical and responsible investments, and highlight opportunities for Islamic-compliant FinTech services and Islamic finance activities for the region and beyond.
United Arab Emirates
17 Aug 2017
CFPB Promulgates, House Seeks To Repeal, Final Arbitration Agreements Rule
Recently, the Consumer Financial Protection Bureau (CFPB) promulgated its final arbitration agreement rule.
United States
17 Aug 2017
Qatar's Quiet Summer Months
We are currently witnessing the annual Gulf summer slowdown as locals and expats travel during their annual leave.
16 Aug 2017
PSD2 Major Incident Reporting Guidelines
On July 27 2017, the European Banking Authority (EBA) published the Final Guidelines (the Guidelines) on major incident reporting under the revised Payment Services Directive (PSD2).
United States
16 Aug 2017
Summer In Qatar
The change in the geopolitical situation in the GCC as a result of a number of countries severing all diplomatic ties with Qatar and blocking all borders (air, land and sea) with it has raised some initial concerns...
14 Aug 2017
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