Searching Content indexed under Compliance by Milbank LLP ordered by Published Date Descending.
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Disclosure Requirements Under The Securitisation Regulation Delayed: Application Of CRA3 Transitional Provisions
The EU Securitisation Regulation1 (the "Securitisation Regulation") will come into effect on 1 January 2019, bringing a number of changes to the European risk retention regime for CLO transactions ...
7 Dec 2018
EU Market Abuse Regulation
With effect from 3 July 2016, the European Market Abuse Regulation (Regulation 596/2014) ("MAR") will replace the European Market Abuse Directive (2003/6/EC) ("MAD") that has been in place since 2003.
European Union
10 Jul 2016
SEC Staff Grants Limited Relief From Compliance With US Risk Retention Rules In The Context Of Certain CLO Refinancings
Any CLO priced on or after December 24, 2014, or that otherwise does not meet the above criteria, is not eligible to qualify the CLO manager for relief from the Final Rules in the context of a refinancing.
United States
31 Jul 2015
Out Of The Frying-Pan Into The Fire: Enforcement Of The Volcker Rule By The Five Agencies
Today, after more than five long years of commentary, proposals, rulemaking and endless questions of interpretation, the restrictions imposed by Section 619 of the Dodd-Frank Act...
United States
22 Jul 2015
Bureau Of Economic Analysis' Mandatory BE-10 Filing Deadline Approaches For U.S. Companies With Foreign Subsidiaries Or Affiliates
On November 20, 2014, the U.S. Department of Commerce, Bureau of Economic Analysis ("BEA") published a final rule amending the Code of Federal Regulations, 15 C.F.R. Part 801...
United States
14 May 2015
What To Expect In Antitrust Enforcement In 2015
In this briefing, we highlight some key areas of antitrust enforcement to be prepared for in 2015.
United States
26 Feb 2015
Things The Media Believes The Volcker Rule Says … But It Actually Doesn’t
Section 619 of the Dodd-Frank Act (commonly known as the "Volcker Rule") is an extremely complicated piece of legislation and financial regulation.
United States
12 Feb 2015
SEC Adopts Regulation SCI To Strengthen Controls For Technological Systems At Core Of U.S. Markets
On November 19, 2014, the SEC announced the adoption of Regulation Systems Compliance and Integrity in a 742-page release.
United States
15 Dec 2014
The Cart Before The Horse: How The Volcker Rule’s Reporting Requirements Accelerate Volcker Rule Implementation And Compliance
The recently adopted Volcker Rule contains two provisions that mandate the first effective compliance requirements of the Volcker Rule.
United States
10 Mar 2014
FSA Fines Lamprell Plc For Listing Rules Breaches
The Final Notice issued to Lamprell plc on 15 March 2013 by the Financial Services Authority provides a timely reminder to listed companies of the consequences of non-compliance with their obligations under the Listing Rules.
United States
16 Apr 2013
SEC Adopts New Rules Requiring Stock Exchange Listing Standards For Compensation Committees
New rules also require enhanced disclosures relating to compensation committee advisers.
United States
3 Jul 2012
Latest Regulatory Activism: Leveraged Finance Under The Microscope
On March 26, 2012, the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency and the Federal Deposit Insurance Commission (the "Agencies") released proposed guidelines on leveraged finance.
United States
30 Mar 2012
Fund Administration Ripe For Outsourcing
The confluence of continued growth in the fund market (in terms of assets under management, complexity and number of active funds), a dynamic regulatory environment and increased market competition has created an environment that is ripe for both business process outsourcing (BPO) and information technology outsourcing (ITO).
United States
19 Jan 2007
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