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Searching Content indexed under Financial Services by James Duncan ordered by Published Date Descending.
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FINRA Proposes Substantive And Organizational Amendments To Corporate Financing Rule
On April 25, 2019, the Financial Industry Regulatory Authority, Inc. ("FINRA") filed proposed amendments to FINRA Rule 5110.
United States
19 Jun 2019
2
ISDA Proposes Amendments To The 2014 ISDA Credit Derivatives Definitions Relating To Narrowly Tailored Credit Events
On March 6, 2019, the International Swaps and Derivatives Association (ISDA) published proposed amendments to the 2014 ISDA Credit Derivatives Definitions relating to so-called NTCEs.
United States
29 Apr 2019
3
EMIR Refit: Impact Of The Reclassification Of Funds
The EU proposals to amend technical aspects of the European Market Infrastructure Regulation (EMIR), known colloquially as ‘EMIR 2.1' or ‘EMIR Refit', have been politically agreed.
European Union
15 Apr 2019
4
Brexit And Other Key Issues For CFOs And Corporate Treasurers
On June 23, 2016, the UK electorate voted to leave the European Union in an advisory Referendum.
United States
14 Jul 2016
5
Brexit: Issues For Financial Businesses
Today, it was announced that the UK public has voted to leave the European Union. There will now be a negotiation of a new relationship between the UK and Europe.
UK
11 Jul 2016
6
Brexit: What Does The Vote Mean For Business?
Today, it was announced that the UK public has voted to leave the European Union. There will now be a negotiation of a new relationship between the UK and Europe.
UK
24 Jun 2016
7
Update On Third Country Equivalence Under EMIR
The European Commission has adopted "equivalence" decisions on the derivatives regulatory regimes for central counterparties in Canada, Mexico, the Republic of Korea, South Africa and Switzerland.
European Union
25 Nov 2015
8
EU Clearing Obligation For Interest Rate Swaps Looms
Implementation of the obligation for central clearing of OTC derivatives under the European Market Infrastructure Regulation now seems imminent.
European Union
27 Aug 2015
9
Update On Third-Country Equivalence Under EMIR
This paper summarises the equivalence decisions and technical advice that has been produced to date.
Worldwide
1 Jun 2015
10
Bank Recovery And Resolution Directive – Implications For Repo And Derivative Counterparties
The Bank Recovery and Resolution Directive (BRRD)1introduces an EU-wide regime for recovery and resolution planning for, and for resolution action to be taken...
United States
14 May 2015
11
Scotland: Legal Issues On Proposed Independence
The referendum is governed by the Scottish Independence Referendum Act 2013. This legislation was passed by the UK Parliament.
UK
23 Sep 2014
12
Initial Swap Trading Requirements Come Into Effect—Limited Relief For Packaged Trades And Some EU Facilities
The Commodity Futures Trading Commission has imposed for the first time a requirement that certain swaps be traded on a regulated market.
European Union
18 Feb 2014
13
ESMA Advice On Third-Country Equivalence Under EMIR, II
On 3 September, ESMA published its first technical advice to the European Commission on the equivalence of the US and Japanese derivatives frameworks to the EU rules.
United States
28 Oct 2013
14
ESMA Advice On Third-Country Equivalence Under EMIR
Clarity to market participants on the equivalence of derivatives rules to European requirements has been much anticipated.
United States
12 Sep 2013
15
ESMA Consults On Extraterritoriality
The extraterritorial effect of new financial regulation is a controversial issue, fundamental to the business of banks, brokers, funds and their clients.
United States
8 Aug 2013
16
Actions Required Under Derivatives Reforms
The first wave of financial regulatory change affecting banks, brokers and their users is in the field of derivatives.
United States
6 Aug 2013
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