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Enviado: 14 February 2018
This article examines two enforcement actions taken last year by the DFSA against senior executives.
Seward & Kissel publishes its 2018 annual regulatory reminders memorandum.
Enviado: 13 February 2018
A snapshot of items on the regulatory "prioriy list" for 2018 and key regulatory developments on the horizon.
Enviado: 09 February 2018
This report focuses on key regulatory developments relevant to insurance companies. It looks at future developments, rather than being a retrospective analysis. We outline what is relevant this quarter and beyond.
Securities and Exchange Commission (SEC) registered investment advisers with a 31 December year end must update Form ADV on or before 31 March 2018.
A judge had been right to grant rescission of derivative contracts between a bank and its customer on the grounds of bribery and conflict of interests.
The Q1 2018 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 January 2018 to 31 March 2018.
Issue 120 of this regular bulletin summarising significant legal and regulatory developments of relevance to the fund management and investment banking communities.
Enviado: 08 February 2018
The recent wave of volatility in global stockmarkets has highlighted some of the risks associated with index tracking exchange traded products.
In Bilta v RBS the court held that notes of interviews made in the course of an investigation were covered by litigation privilege. How did this case differ from SFO v ENRC?
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