Investment Bank Regulatory

Latest

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  • Financial Services Alerter - December 2018 developments

    Newsletter

    Submitted: 17 January 2019

    Issue 131 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • Regulatory Initial Margin: the time for the buy-side to act is now

    Article

    Submitted: 10 January 2019

    A summary of the challenges to be faced by buy-side firms with respect to regulatory initial margin.

  • FCA Consultation Paper on Overdraft Reforms

    Article

    Submitted: 10 January 2019

    This article provides an overview of the FCA’s consultation paper “High-Cost Credit Review: Overdrafts consultation paper and policy statement”, setting out a timeline on how the FCA is taking this matter forward, and recommendations on what action an overdraft provider could consider taking in light of the CP’s contents.

  • Notifying the FCA under the Temporary Permissions Regime (TPR) - notification window now open

    Article

    Submitted: 07 January 2019

    ​To be able to continue marketing incoming EEA funds in the UK following a no deal Brexit, notification must be made to the FCA to enter the temporary permissions regime (TPR). The window for making such a notification is now open (until 28 March). Once the window closes, fund managers that have not submitted a notification for a given fund will be unable to use the TPR for that fund and will have to cease marketing the fund in the UK.

  • IRS limits scope of FATCA rules

    Article

    Submitted: 02 January 2019

    The IRS has issued proposed new regulations that will further delay the imposition of withholding tax on foreign passthru payments, remove the potential imposition of withholding tax on gross payments and clarify the meaning of the definition of “investment entity financial institution”.

  • The Global LEI System and Other Unique Identifiers

    Article

    Last Reviewed: 31 December 2018 / Submitted: 10 February 2014

    An overview of the Global LEI System considering some of its practical implications for financial institutions and, in particular, its relationship to the reporting obligations under EMIR including Unique Transaction Identifiers and Unique Product Identifiers.

  • Oversight December 2018 - SFC Consultation Conclusions on Proposed Amendments to Code on Unit Trusts and Mutual Funds

    Newsletter

    Submitted: 31 December 2018

    This Oversight covers the key points in the Consultation Conclusions on Proposed Amendments to Code on Unit Trusts and Mutual Funds published by the Securities and Futures Commission on 6 December 2018.

  • Financial Services Alerter - November 2018 developments

    Newsletter

    Submitted: 30 December 2018

    Issue 130 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • Brexit - ESMA Statement reminds firms of their obligations on disclosure of information to clients under MiFID

    Article

    Submitted: 19 December 2018

    On 19 December 2018, the European Securities and Markets Authority (ESMA) issued a Statement reminding investment firms and credit institutions which provide investment services (together, firms) of their obligations to provide clients with accurate disclosure on the impact on the provision of services and investors’ rights that may emerge as a result of the UK leaving the EU (Brexit).

  • BREXIT: German Ministry of Finance makes statement in respect of MoUs with the FCA

    Article

    Submitted: 19 December 2018

    The German Ministry of Finance (Bundesministerium der Finanzen - BMF) has sent the German Fund Association (BVI) positive confirmation in respect of MoUs that are still to be concluded with the FCA.

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