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  • Financial Services Alerter - July 2017 developments

    Newsletter

    Submitted: 09 August 2017

    Issue 114 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • AIG OFAC enforcement decision: Lessons in self-disclosure and cooperation

    Article

    Submitted: 07 August 2017

    The recent AIG OFAC Enforcement Notice (the AIG Notice) provides valuable insight into areas that international insurance and financial services organisations should be mindful of from a sanctions-risk mitigation perspective. The AIG Notice also presents some valuable lessons, in light of OFAC’s Economic Sanctions Enforcement Guidelines on some of the potential benefits of self-disclosure and co-operation.

  • New UK Senior Managers Regime: the impact on US firms with a UK presence

    Seminar

    Event date: 14 September 2017

    Experts from our Employment and Regulatory teams will be holding a seminar in New York to discuss the new individual accountability regime (also known as the Senior Managers and Certification Regime), which will affect all UK regulated firms and their senior management from 2018.

  • Renewal of FFI Agreements required

    Article

    Last Reviewed: 04 August 2017 / Submitted: 19 June 2017

    Foreign financial institutions (FFIs) with existing FFI agreements with the US Internal Revenue Service have been given an extended deadline until 24 October 2017 to renew those agreements.

  • Legal Headwinds: UK/EU - Quarterly Report - Q3 2017 Restricted access

    Newsletter

    Submitted: 01 August 2017

    The Q3 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 July 2017 to 30 September 2017.

  • Financial Services Alerter - June 2017 developments

    Newsletter

    Submitted: 26 July 2017

    Issue 113 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • Cayman Islands FATCA and CRS reporting deadline extended

    Article

    Submitted: 24 July 2017

    The Cayman Islands have announced a final extension of the 2017 deadline for US FATCA and Common Reporting Standard (CRS) reporting to 31 August 2017.

  • Financial Services Alerter - May 2017 developments

    Newsletter

    Submitted: 11 July 2017

    Issue 112 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.

  • Whistleblowing: the pressure mounts: Changes to the whistleblowing framework

    Article

    Last Reviewed: 10 July 2017 / Submitted: 02 February 2015

    The UK Government is considering enhancing protection for whistleblowers via new legislation and non-statutory guidance.

  • Whistleblowing: the pressure mounts: New regime for the FI sector

    Article

    Last Reviewed: 10 July 2017 / Submitted: 02 February 2015

    The FCA and PRA have issued a consultation paper proposing new requirements for certain larger financial institutions, while the new senior managers’ regime also impacts firms’ whistleblowing arrangements.

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