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送信済み: 14 March 2017
The FCA has flagged up what it sees as failings by investment management managers to put into practice the regulator's findings in relation to best execution and use of dealing commission.
送信済み: 10 March 2017
The Cayman Islands have announced that CRS notification and first reporting deadlines have been extended by two months.
送信済み: 09 March 2017
Summary on SFC’s proposals to amend the professional investor rules to standardise and expand the categories of persons who qualify as professional investors.
Seward & Kissel’s memorandum examines the decision of the Department of Labor (DOL) to extend the date of the Fiduciary Rule under ERISA by 60 days.
Seward & Kissel’s memorandum examines the key aspects of Unitranche Loan Structures.
送信済み: 06 March 2017
An overview of an amended list of exempt entities under Article 1(4)(c) of the European Market Infrastructure Regulation (EMIR).
最終レビュー: 07 March 2017 / 送信済み: 02 March 2017
The PRA and FCA's new rules on regulatory references came into force on 07 March 2017.
送信済み: 27 February 2017
An overview of statements published by the ESAs, IOSCO and US Federal reserve on meeting the 01 March 2017 deadline for exchanging variation margin under the European Market Infrastructure Regulation.
送信済み: 23 February 2017
The German regulator has published its long awaited guideline on sanctions for breaches of German securities law, allowing market participants a glimpse into a future of revenue-based sanctions.
送信済み: 22 February 2017
The German regulator's "Welcome Page" provides foreign companies considering operating a regulated business in Germany with an understanding of German regulatory issues.
Podcast 584: Asterisk - Key risks for financial institutions and asset managers in 2017
ロンドン 2017 年 April 6 日
ロンドン 2017 年 April 19 日
ロンドン 2017 年 April 26 日
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