Investment Bank Regulatory

Latest

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  • Retail Structured Products Restricted access

    Article

    Last Reviewed: 30 June 2017 / Submitted: 02 September 2014

    An overview of the initiatives to regulate the sales of structured products to retail investors including the PRIIPs Regulation.

  • The Global LEI System and Other Unique Identifiers Restricted access

    Article

    Last Reviewed: 30 June 2017 / 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.

  • EMIR Margin requirements for physically settled FX forwards: the time to engage is now

    Article

    Submitted: 28 June 2017

    ​Amid the noise of MiFID2, it would perhaps be easy to forget that the final piece of the EMIR Margin requirements, which relates to physically settled FX forwards, is due to come into force on 03 January 2018.

  • Cayman Islands extends CRS and FATCA registration dates

    Article

    Submitted: 28 June 2017

    The Cayman Islands have extended the FATCA and CRS registration deadline to 31 July 2017 and released revised self-certification forms.

  • Enforcement Bites: Contentious regulatory update - June 2017

    Article

    Submitted: 27 June 2017

    Our latest newsletter on contentious regulatory matters.​

  • Breakfast Briefing - Update on recent developments in German regulatory law

    Seminar

    Event date: 06 July 2017

    Now that the German implementation of MiFID2 have entered the home stretch, we believe it is a good time to discuss the German implementation of the MiFID2 rules for inducements, research and cost disclosure.

  • Renewal of FFI Agreements required

    Article

    Submitted: 19 June 2017

    Foreign financial institutions (FFIs) with existing FFI agreements with the US Internal Revenue Service are required to renew those agreements by 31 July 2017.

  • New rules in the EU when acquiring (or increasing) stakes in financial sector targets

    Article

    Submitted: 14 June 2017

    From 01 October 2017, the guidelines issued jointly by The European Banking Authority (EBA), the European Insurance and Occupational Pensions Authority (EIOPA) and the European Securities and Markets Authority (ESMA) (collectively known as "ESA") will apply with regard to acquisitions and increases of “qualifying holdings” in the banking, insurance and securities sectors.

  • Breakfast Briefing BAIT – Detaillierung und Konkretisierung der IT-Anforderungen

    Seminar

    Event date: 29 June 2017

    Gegenstand der Veranstaltung sind die „Bankaufsichtlichen Anforderungen an die IT (BAIT)“, die von Seiten der BaFin mit der Finanzwirtschaft bis zum 5. Mai 2017 konsultiert werden.

  • Brexit after the June election

    Blog Post

    Submitted: 12 June 2017

    The Prime Minister called the June election in order to strengthen her domestic political position before the start of Brexit negotiations. She appears to have achieved the opposite and we now have a hung Parliament and a minority government. Nevertheless, for the time being the UK Government appears set on continuing with its pre election policy for a “hard” Brexit. It remains to be seen whether this is politically possible.

1 to 10 of 1422