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Searching Content indexed under Corporate/Commercial Law by Mak Judge ordered by Published Date Descending.
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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
2
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
3
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
4
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
5
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
6
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
7
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
8
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
9
Financial Regulatory Developments Focus - 18 February 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
24 Feb 2014
10
Twice As MAD: Legislative Proposals To Amend The European Regulation Of Market Abuse
The European Commission has published its legislative proposal to revise the Market Abuse Directive. The proposal takes the form of a directive and a regulation.
United States
22 Dec 2011
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