Financial Institutions

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  • FCA reviews effectiveness of UK primary capital markets

    Article

    Submitted: 24 February 2017

    ​Publication of a discussion paper by the UK Financial Conduct Authority (FCA) seeking feedback on how the UK’s primary capital markets can effectively meet the needs of issuers and investors.

  • Legal Headwinds NL/EU - Quarterly Report - Q1 2017

    Newsletter

    Submitted: 01 February 2017

    ​The Q1 2017 edition of Legal Headwinds focuses on key regulatory developments relevant to financial institutions operating in the Netherlands for the period from 01 January 2017 to 31 March 2017.

  • Legal Headwinds: UK/EU - Quarterly Report - Q1 2017 Restricted access

    Newsletter

    Submitted: 26 January 2017

    The Q1 2017 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in the UK for the period from 01 January to 31 March 2017.

  • ECON published Compromise Amendments to the proposed Securitisation Regulation

    Article

    Last Reviewed: 18 January 2017 / Submitted: 13 January 2017

    The European Parliament’s Economic and Monetary Affairs Committee has approved compromise amendments to the proposed EU securitisation regulation, and the related CRR amending regulation, which may, if included in the final version of such regulations, hinder, rather than promote, the recovery of Europe’s securitisation market.

  • BaFin postpones decision on ban sales of credit-linked notes Restricted access

    Article

    Submitted: 16 December 2016

    ​In an immediate response to the proposed ban of the sale of credit-linked notes to retail clients set out in a consultation paper of the BaFin key German finance market associations have published “self-binding principles” for the issuance of such products to address. As a reaction to the self-restriction of the main market participants, BaFin has postponed the proposed prohibition by at least a half year.

  • BaFin considers ban of sale of CFDs with subsequent payment obligation to retail investors Restricted access

    Article

    Submitted: 14 December 2016

    ​The German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – “BaFin”) has started a public consultation/hearing process on its proposed ban on the sale to retail investors of contracts for difference (CFD) that might require the purchaser to put up further margin/capital (leveraged CFDs).

  • ERISA Fiduciary Project Plan

    Article

    Submitted: 21 November 2016

    ERISA Fiduciary Project Plan for all funds which may accept ERISA or other Benefit Plan Investors

  • Q&A on new ERISA fiduciary rules

    Article

    Submitted: 21 November 2016

    An overview of the scope and impact of the new ERISA fiduciary rules

  • Transparency Directive: requirement for mandatory issuer Legal Entity Identifiers approaches

    Article

    Submitted: 14 November 2016

    ​From 01 January 2017, all issuers which are subject to the Transparency Directive (TD) will be required to have a Legal Entity Identifier (LEI).

  • Legal Headwinds: UK/EU - Quarterly Report - Q4 2016 Restricted access

    Newsletter

    Submitted: 28 October 2016

    The Q4 2016 edition of Legal Headwinds focuses on key legal and regulatory developments relevant to financial institutions operating in the UK for the period from 01 October to 31 December 2016.

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