Kapitalmärkte & Derivate

Aktuelles

1 bis 10 von 911
  • Extension of SMCR: Identifying senior managers and related challenges Eingeschränkter Zugriff

    Webinar

    Veröffentlicht: 22 November 2017

    Download the slides and watch our recent webinar on-demand. This session had a particular focus on tricky issues such as extraterritoriality, how to manage your existing SIF population and statements of responsibility. It also covered the duty of responsibility and how to take reasonable steps, and how to create clear reporting lines. You will also receive a helpful reminder of the relevant provisions in the draft rules (including relevant comments for insurers).

  • CMU Newsflash: Council of the European Union adopts securitisation rules

    Artikel

    Veröffentlicht: 21 November 2017

    The Council of the EU has adopted two regulations aimed at facilitating the development of the securitisation market in Europe.

  • Capital Markets Union knowledge centre

    Artikel

    Zuletzt geprüft: 20 November 2017 / Veröffentlicht: 05 November 2015

    Our Capital Markets Union Knowledge Centre can help you access materials relating to the ongoing development of the Capital Markets Union.

  • ESMA & BaFin critical on ICOs

    Artikel

    Veröffentlicht: 16 November 2017

    Recent statements by ESMA and BaFin stress the high risks associated with ICOs. Investors should be aware of the total loss risk and that investor protection measures might not apply because ICOs often are not subject to existing rules and regulations.

  • Extending the Senior Managers & Certification Regime: our response to the Consultation Paper

    Artikel

    Veröffentlicht: 10 November 2017

    We highlight the key points set out in our response to Consultation Paper (CP17/25) on the extension of the Senior Managers & Certification Regime (SMCR) to all FCA solo-regulated firms.

  • Extension of SMCR: Response to Consultation Papers Eingeschränkter Zugriff

    Webinar

    Veröffentlicht: 08 November 2017

    Watch our recent webinar on-demand - Hear specific practical and legal issues from industry as well as our thoughts on the SMCR consultation papers as we cover the main points we have made to the FCA in our response (including relating to insurers).

  • Legal Headwinds: Asia - Quarterly Report - Q4 2017 Eingeschränkter Zugriff

    Newsletter

    Veröffentlicht: 01 November 2017

    The Q4 2017 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in China, Hong Kong and Singapore.

  • Legal Headwinds: UK/EU - Quarterly Report - Q4 2017 Eingeschränkter Zugriff

    Newsletter

    Veröffentlicht: 31 October 2017

    The Q4 2017 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to asset managers and financial institutions operating in the UK for the period from 01 October 2017 to 31 December 2017.

  • Corporate reorganisation in Hong Kong IPOs

    Seminar

    Veröffentlicht: 25 October 2017

    This session covers an overview on corporate reorganisation in the context of a Hong Kong listing,legal and commercial considerations and concerns and implications under the Hong Kong listing regime.

  • Liability management of fixed income products

    Seminar

    Veröffentlicht: 25 October 2017

    This session covers tender offers, consent solicitation, exchange offers and open market repurchase, liability management in the issuance of debt capital markets products including equity linked products and legal considerations and exchange requirements.

1 bis 10 von 911