On 6 October 2023, the Financial Conduct Authority (“FCA”) updated its anti-money laundering (“AML”) and counter terrorist financing (“CTF”) regime webpage (“Webpage”) with useful feedback on good and poor quality...more
SEC/CORPORATE -
SEC Division of Corporation Finance Issues C&DIs on Omission of Third Year From MD&A -
As previously discussed in the April 12, 2019 edition of Corporate & Financial Weekly Digest, the Securities and...more
2/3/2020
/ Anti-Money Laundering ,
Bank Holding Company Act ,
C&DIs ,
CFTC ,
Final Rules ,
Financial Statements ,
Incorporation by Reference ,
MD&A Statements ,
NIST ,
OCIE ,
Registration Statement ,
Securities and Exchange Commission (SEC) ,
Transitional Arrangements ,
UK Brexit
BROKER-DEALER -
SEC Proposes Changes to Market Data Plans -
On January 8, the Securities and Exchange Commission (SEC) released a proposed order to improve the governance of National Market System (NMS) data plans...more
1/13/2020
/ Anti-Money Laundering ,
Banking Sector ,
Broker-Dealer ,
CFTC ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
National Futures Association ,
National Market System (NMS) ,
Securities and Exchange Commission (SEC)
SEC/CORPORATE -
NYSE Withdraws Proposed Rule to Allow Listing Without an IPO -
On June 19, the New York Stock Exchange (NYSE) filed a notice withdrawing its proposed rule that would have allowed companies to list on the...more
7/3/2017
/ Anti-Money Laundering ,
Anti-Terrorism Financing ,
Asset Management ,
Dubai ,
Financial Conduct Authority (FCA) ,
Initial Public Offering (IPO) ,
Listing Rules ,
New Regulations ,
NYSE ,
UK ,
UK Competition and Markets Authority (CMA)
On February 2, the European Commission (EC) announced and presented an action plan (Action Plan) against terrorism financing, which includes amendments to the fourth Anti-Money Laundering (AML) Directive that went into effect...more
On February 2, the Financial Conduct Authority (FCA) published a “Dear CEO” letter (Letter) setting out the FCA’s findings from a review of client take-on procedures for firms that offer contract for difference (CFD) products...more
SEC/CORPORATE SEC Commissioner Piwowar Speaks at Current Financial Reporting Issues Conference -
On November 16, Securities and Exchange Commissioner Michael Piwowar addressed the 34th Annual Current Financial Reporting...more
On April 20, the European Council of Ministers adopted its version of new rules aimed at preventing money laundering and terrorist financing in the form of a draft new European Union Directive and Regulation (Draft Rules)....more
In this issue:
- SEC Division of Corporation Finance Issues New C&DI Related to Resales Under Regulation S
- SEC Announces Proxy Voting Roundtable
- CFTC Staff Issues No-Action Relief From Certain...more
2/2/2015
/ AIFM ,
Anti-Money Laundering ,
Brokers ,
C&DIs ,
CFTC ,
Clawbacks ,
CME NYMEX ,
EU Directive ,
Forex ,
Insider Trading ,
Major Swap Participants ,
Netherlands ,
No-Action Relief ,
Proxy Voting Guidelines ,
Regulation S ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
UK