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• The Global LEI System and Other Unique Identifiers

  Artikel

  Laatst gecontroleerd: 30 June 2017 / Ingediend: 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.

• Cayman Islands extends CRS and FATCA registration dates

  Artikel

  Ingediend: 28 June 2017

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

• FCA asset management market study - publication of final report

  Artikel

  Ingediend: 28 June 2017

  ​The Financial Conduct Authority (FCA) has published its final report on its asset management market study, which looked at competition in the asset management sector.

• Enforcement Bites: Contentious regulatory update - June 2017

  Artikel

  Ingediend: 27 June 2017

  Our latest newsletter on contentious regulatory matters.​

• « Loi Sapin II » : sociétés de gestion, avez-vous pensé à mettre en place des dispositifs internes de lanceur d’alerte ?

  Artikel

  Ingediend: 27 June 2017

  La loi Sapin II du 9 décembre 2016, qui vise à renforcer la lutte contre la corruption et la transparence, impose aux personnes morales de mettre en œuvre des procédures internes de signalement.

• Directive en vue de promouvoir l'engagement à long terme des actionnaires

  Artikel

  Ingediend: 23 June 2017

  Adoption le 3 avril 2017 de la directive (UE) 2017/828 modifiant la directive 2007/36/CE en vue de promouvoir l’engagement à long terme des actionnaires : De nouvelles obligations pour les investisseurs institutionnels et les gestionnaires d’actifs

• Renewal of FFI Agreements required

  Artikel

  Ingediend: 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.

• UAE regulators issue AML/CFT notices relating to Qatar: new reporting obligations for regulated firms

  Artikel

  Ingediend: 15 June 2017

  This article covers the reporting obligations for regulated firms in the UAE as a result of the notices.

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

  Artikel

  Ingediend: 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

  Datum: 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.

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