投资银行监管

最新

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  • Retail Structured Products 受限访问

    文章

    最后审查: 30 June 2017 / 提交: 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 受限访问

    文章

    最后审查: 30 June 2017 / 提交: 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

    文章

    提交: 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

    文章

    提交: 27 June 2017

    Our latest newsletter on contentious regulatory matters.​

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

    研讨会

    活动日期: 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

    文章

    提交: 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

    文章

    提交: 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

    研讨会

    活动日期: 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

    提交: 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.

  • CRS and FATCA: UK implementation

    文章

    提交: 05 June 2017

    The UK recently updated its implementing regulations giving effect to CRS and FATCA agreements, amending a number of aspects in the process.

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