Claude Brown

Claude Brown

Reed Smith

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FCA issues guidance on how firms should use social media for financial promotions

The UK’s Financial Conduct Authority (FCA) has published its guidance on using social media for financial promotions. In the guidance, the FCA made it clear that they understand the power of social media as a...more

3/18/2015 - Consumer Financial Products Financial Conduct Authority Financial Promotions New Guidance Social Networks UK

“FCA enforcement up 20%”: But what does this tell us?

During 2014, the UK’s Financial Conduct Authority (FCA) opened around 20% more investigations than in 2013, according to today’s Financial Times (subscription required). This is in line with the stricter new regime supposedly...more

2/25/2015 - Financial Conduct Authority Financial Institutions UK

Changes to the UKs Client Asset Source Book (CASS) –Harder, Better, Faster, Stronger

The collapse of Lehmans Brothers and MF Global outlined commercial challenges in respect of client assets and client money, including the role of regulated investment firms, the regulator, administrators and external auditors...more

10/31/2014 - Financial Conduct Authority Investment Firms Regulatory Standards UK

Business Across Borders - Smoothing the path: the challenges of operating internationally

The third in our Business Across Borders report series, written by The Economist Intelligence Unit, and launched today, delves into the challenges faced by companies doing business across markets. The report and video...more

8/5/2013 - Cross-Border Cross-Border Transactions International Finance

Derivatives Transaction Reporting: What do Singapore’s proposals mean for firms regulated elsewhere?

The Monetary Authority of Singapore (MAS) has recently published a consultation paper setting out its proposals for transaction reporting requirements (the Securities and Futures (Reporting of Derivatives Contracts)...more

7/10/2013 - Compliance Derivatives Dodd-Frank EMIR Monetary Authority of Singapore Notifications

EMIR – Summary of Key Requirements

The European Markets Infrastructure Regulation (EMIR) introduces requirements aimed at improving transparency and the reduction of risks associated with the derivatives market. EMIR also establishes organisational, conduct of...more

6/17/2013 - EEA EMIR ESMA Investment Portfolios Mandatory Clearing Requirements OTC Reporting Requirements Risk Mitigation

Issues Arising in Commodity Inventory Finance

Introduction - The knock-on effects of the global economic crisis have influenced the financing of the commodities trading industry. Changes in the regulatory landscape in Europe and the United States have likewise...more

5/3/2013 - Commodities Contract Drafting CTA Financing Intermediaries Risk Assessment

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