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Searching Content indexed under Financial Services by Ezra Zahabi ordered by Published Date Descending.
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Changes To The FCA's Rules Implementing The Revised Shareholder Rights Directive – What Asset Managers Need To Know
As part of the EU Sustainability Action Plan and the Sustainable Finance initiative the revised Directive 2007/36/EC (the "Shareholder Rights Directive" or "SRD II") introduces new requirements
European Union
14 Jun 2019
2
Senior Managers And Certification Regime
The commencement date of 9 December 2019 for the extension of the Senior Managers and Certification Regime (SMCR) ...
United States
28 May 2019
3
EMIR Refit – Redefining A "Financial Counterparty" And Why This Matters To Fund Managers
Legislative reform to the European Market Infrastructure Regulation (EMIR) has now been finalised and the changes are expected to take effect in or around June 2019.
United States
16 May 2019
4
Brexit: Recognition Of UK Derivatives Regulation
The FMIA applies to the trade in derivatives.
European Union
2 May 2019
5
In Principle: 10 Things Authorised Firms Need To Know For 2019
In the 2018 edition of this publication, we ended the introduction with the line, "We can only hope that we will enter 2019 with greater certainty than 2018 as to how the regulatory landscape will look."
United States
6 Feb 2019
8
UK Implementation Of MiFID II
The FCA rules reflect ESMA's guidance.
UK
7 Aug 2017
9
Financial Conduct Authority Consults On Senior Managers And Certification Regime
On 26 July 2017, the UK Financial Conduct Authority published its much-anticipated Consultation Paper (CP 17/25) "Individual Accountability: Extending the Senior Managers & Certification Regime to all FCA firms."
UK
3 Aug 2017
10
Securities Financing Transactions Regulation - Update
SFTR requires most EU based fund managers to make new detailed disclosures to investors about their use of certain financing structures.
UK
23 May 2017
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