SEC/CORPORATE -
Crowdfunding Portals Can Now Register With the SEC -
As discussed in the November 6, 2015 edition of the Corporate and Financial Weekly Digest, on October 30, 2015, the Securities and Exchange...more
2/1/2016
/ Crowdfunding ,
Cyber Attacks ,
Electronic Filing ,
Germany ,
Hedge Funds ,
Memorandum of Understanding ,
Regulation C ,
SEFs ,
Senior Managers Insurers Regime (SMIR) ,
Supervision ,
UK
On January 6, the Financial Conduct Authority (FCA) held a roundtable (Roundtable) with trade associations to discuss the implementation of the revised and recast Markets in Financial Instruments Directive and the associated...more
The EU Capital Requirements Directive (CRD) went into effect on January 1, 2014. The CRD introduced what is commonly referred to in the European Union as a “bonus cap” on individual variable remuneration when paid to...more
BROKER-DEALER -
2016 Examination Priorities Announced By SEC -
On January 11, the Securities and Exchange Commission released the Office of Compliance Inspections and Examinations’ (OCIE) 2016 examination...more
1/18/2016
/ CFTC ,
Cybersecurity ,
Derivatives ,
ETFs ,
EU ,
European Banking Authority (EBA) ,
Financial Conduct Authority (FCA) ,
Investment Funds ,
MiFID II ,
SEC Examination Priorities ,
Swap Clearing ,
UK
As discussed in the Corporate and Financial Weekly Digest edition of August 14, 2015, the new obligation for UK companies and limited liability partnerships (LLPs) to keep and maintain a register (Register) of people with...more
On December 15, the Financial Conduct Authority (FCA) published an initial consultation paper (Consultation Paper) on implementing the revised and recast Markets in Financial Instruments Directive (MiFID II) and the...more
On November 6, the UK Financial Conduct Authority (FCA) published a speech by Jamie Symington, director in enforcement (wholesale, unauthorized business and intelligence), on FCA-regulated firms’ internal investigations of...more
BROKER-DEALER -
FINRA Issues Investor Alert Regarding IRS Phone Scam -
The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly...more
11/16/2015
/ CPOs ,
EU ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
Form PQR ,
Internal Investigations ,
Major Swap Participants ,
MiFID II ,
Risk Management ,
Tax Scams ,
UK ,
Volcker Rule
On October 30, the UK Financial Conduct Authority (FCA) published a webpage with detailed information regarding its October 19 conference on the revised and recast Markets in Financial Instruments Directive (MiFID) and its...more
SEC/CORPORATE -
SEC Proposes Amendments to Rules 147 and 504 -
On October 30, the Securities and Exchange Commission proposed amendments to modernize: (1) Rule 147, promulgated under the Securities Act of 1933...more
Companies have long faced serious legal consequences for bribes paid by employees, vendors, suppliers, business partners and other third parties with whom they do business. More recently, that risk has expanded beyond bribery...more
HM Treasury has announced as part of a new bill introduced in the UK parliament, that the current proposals for rules requiring senior banking individuals to have more responsibility in designated areas within banks operating...more
On September 18, the UK Financial Conduct Authority (FCA) published two papers with new guidance (the “Guides”) regarding how it will supervise different types of UK regulated financial services firms in the future.
...more
SEC/CORPORATE -
SEC Advisory Committee on Small and Emerging Companies Makes Recommendations -
On September 23, the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies (Advisory...more
9/28/2015
/ ACH Payments ,
Asset Diversification ,
Banking Sector ,
Broker-Dealer ,
CFTC ,
Derivatives ,
Derivatives Clearing Organizations ,
Emerging Growth Companies ,
FDIC ,
Financial Conduct Authority (FCA) ,
Finders ,
Investment Funds ,
IRS ,
Mutual Funds ,
Registration Requirement ,
Rule 147 ,
SEC Advisory Committee ,
Securities and Exchange Commission (SEC) ,
Supervision ,
U.S. Treasury ,
UK
On September 14, the Financial Conduct Authority (FCA) published an update announcing changes to GABRIEL (Gathering Better Regulatory Information Electronically), its online reporting, data validation and filing portal....more
BROKER-DEALER SEC -
Extends Specified Temporary Relief Related to Security-Based Swaps -
On September 15, the SEC issued an order extending temporary exemptions and exceptions from compliance with certain...more
9/21/2015
/ BEA ,
Broker-Dealer ,
CFTC ,
Derivatives ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Investment Adviser ,
Investment Companies ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Security-Based Swaps ,
UK
On September 3, the Financial Conduct Authority (FCA) published issue 49 of Market Watch, its newsletter on market conduct and transaction reporting issues. In it, the FCA sets out its findings following a thematic review it...more
9/17/2015
/ Brokers ,
Commodities ,
Commodity Broker ,
Commodity Futures Contracts ,
Financial Conduct Authority (FCA) ,
Forex ,
Libor ,
Market Manipulation ,
MiFID II ,
Supervision ,
UK
On September 3, the Financial Conduct Authority (FCA) published a consultation paper covering changes to its handbook of rules for Undertakings for the Collective Investment of Transferable Securities (UCITS) funds and other...more
On September 3, the Financial Conduct Authority (FCA) published a press release in connection with its September 7 launch of a new and updated version of the UK Financial Services Register (the “Register”)....more
SEC/CORPORATE -
US District Court Orders SEC To Revise Resource Extraction Issuer Rule -
On September 2, the US District Court for the District of Massachusetts ordered the SEC to file with the District Court in 30...more
9/14/2015
/ Banking Sector ,
Broker-Dealer ,
C-Suite Executives ,
CFTC ,
Commodities ,
Consultation ,
Corporate Executive Boards ,
Failure To Disclose ,
FFIEC ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Investment Funds ,
Major Swap Participants ,
NFA ,
NYSE ,
Oxfam America ,
Resource Extraction ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Trade Market Abuse ,
UCITS ,
UK
On August 17, the UK Financial Conduct Authority (FCA) announced on the front page of its online rulebook, which currently also includes the rules of the Prudential Regulation Authority (PRA) and guidance from both...more
The UK Financial Conduct Authority (FCA) published the 48th edition of its “Market Watch” newsletter on June 22. Market Watch is the FCA’s periodic newsletter for publishing its guidance on market conduct and transaction...more
In this issue:
- Delaware Amends Its Corporate Law to Prohibit Fee-Shifting, Approve Exclusive Forum Provisions and Facilitate At-The-Market Offerings
- SEC Division of Corporation Finance Issues New C&DIs Relating...more
On June 4, the British Bankers’ Association (BBA) published its response to a consultation on remuneration guidelines previously published by the European Banking Authority (EBA) on March 4.
The draft guidelines...more
In This Issue:
- Meeting of the SEC Advisory Committee on Small and Emerging Companies
- FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring...more
6/15/2015
/ Bank Fraud ,
Bank of England ,
British Bankers' Association ,
Business Development ,
Capital Requirements ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
Crowdfunding ,
Derivatives ,
Disclosure Requirements ,
Diversity ,
Dodd-Frank ,
DSIO ,
Employment Policies ,
Equal Employment Opportunity Commission (EEOC) ,
EU ,
European Banking Authority (EBA) ,
Fair and Effective Markets Review (FEMR) ,
FICC ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Finders ,
GameStop ,
IMF ,
JOBS Act ,
LGBTQ ,
OMWI ,
Privacy Policy ,
Regulation S-K ,
Rule 147 ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Swaps ,
UK ,
World Bank