Giovanni Carotenuto

Giovanni Carotenuto

Orrick, Herrington & Sutcliffe LLP

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Italy Regulatory Update 1/2014

In this update: 1. ITALIAN LAW 1.1 Primary legislation 1.2 Implementing measures 2. EC/EU LAW 2.1 Primary legislation 2.2 Implementing measures Please see full Chart below for more information....more

2/18/2014 - EU New Legislation Proposed Legislation

Recent Developments In The Italian Anti-Money Laundering Legislation

On January 1, 2014 two regulations, issued by the Bank of Italy in April 2013, entered into force, which deal with the customer due diligence in the field of anti-money laundering and the keeping of the Single Financial...more

1/23/2014 - Anti-Money Laundering Compliance EU

Italy Regulatory Update 3/2013

In This Issue: - 1. ITALIAN LAW - 1.1 Primary legislation - 1.2 Implementing measures - 2. EC/EU LAW - 2.1 Primary legislation - 2.2 Implementing measures Please see full update below for more...more

11/18/2013

AIFMD Countdown to Compliance

The deadline of 22 July 2013 for EU Member States to transpose the Alternative Investment Fund Managers Directive (“AIFMD”) into national law is fast approaching....more

7/22/2013 - AIFM AIFMD Compliance Deadlines EU Financial Conduct Authority Fund Managers UK

The Extra-territorial Reach of the Broker-Dealer Registration Requirements Under the U.S. Securities Exchange Act of 1934; the...

Background. Rule 15a-6 under the Securities Exchange Act of 1934 (“Rule 15a-6”) provides conditional exemptions from broker-dealer registration for “foreign broker-dealers” that engage in certain specified activities...more

4/10/2013 - Broker-Dealer Investors Rule 15a-6 SEC Securities Exchange Act

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