This client memorandum concerns a highly technical point of considerable practical importance. It challenges aspects of the received wisdom that, for post-Brexit cross-border investment business conducted from the U.K. into...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
11/8/2018
/ Banking Sector ,
Competition ,
Consultation ,
Corporate Governance ,
Derivatives ,
Enforcement ,
EU ,
Financial Services Industry ,
FinTech ,
Investment Funds ,
MiFID II ,
Onshoring ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Recovery Plans ,
Securities ,
UK ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
11/5/2018
/ Banking Sector ,
BSA/AML ,
Competition ,
Corporate Governance ,
EU ,
Financial Institutions ,
Financial Services Industry ,
FinTech ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Recovery Plans ,
Securities ,
UK ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
10/22/2018
/ Consultation ,
Corporate Governance ,
Derivatives ,
EU ,
Financial Services Industry ,
FinTech ,
Investment Funds ,
Prudential Regulation Authority (PRA) ,
Securities ,
UK ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
9/28/2018
/ Consumer Protection Laws ,
Corporate Culture ,
Derivatives ,
Enforcement Actions ,
Financial Services Industry ,
FinTech ,
MiFID II ,
Payment Systems ,
Prudential Standards ,
Securities ,
UK
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
9/24/2018
/ AML/CFT ,
Banking Sector ,
Corporate Governance ,
EU ,
Financial Institutions ,
FinTech ,
Prudential Standards ,
Recovery Plans ,
Securities ,
UK ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
The European Commission today published a communication addressing the possible consequences of a hard Brexit. In it, they discuss the long-standing question of the continuity of contracts that straddle the Brexit date. This...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
7/5/2018
/ Bank Resolution Scheme ,
Banking Sector ,
Competition ,
Corporate Governance ,
Derivatives ,
EU ,
Financial Services Industry ,
Popular ,
Prudential Standards ,
Securities ,
UK ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
6/20/2018
/ AML/CFT ,
Derivatives ,
Enforcement Actions ,
EU ,
FinTech ,
Insider Trading ,
Investment Funds ,
MiFID II ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Recovery Plans ,
UK
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
6/4/2018
/ AML/CFT ,
Banking Sector ,
Corporate Governance ,
Dodd-Frank ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Services Industry ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Securities ,
UK
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
4/26/2018
/ AML/CFT ,
Bank Resolution Scheme ,
Banking Sector ,
Corporate Culture ,
Corporate Governance ,
Corporate Misconduct ,
EU ,
Financial Services Industry ,
Prudential Standards ,
Securities ,
UK ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
4/20/2018
/ Banking Sector ,
Competition ,
Cybersecurity ,
Derivatives ,
EU ,
Financial Markets ,
Financial Services Industry ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
UK
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
4/12/2018
/ Annual Reports ,
Appraisal ,
Banks ,
Commercial Real Estate Market ,
Community Reinvestment Act ,
Consumer Financial Protection Bureau (CFPB) ,
Cryptocurrency ,
Customer Due Diligence (CDD) ,
Disclosure Requirements ,
EU Prospectus Regime ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Agencies ,
FinCEN ,
FRBNY ,
Fund Managers ,
Global Economy ,
Investor Protection ,
MiFID II ,
Regulatory Standards ,
UK
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
2/15/2018
/ Benchmarks ,
Cease and Desist Orders ,
Dodd-Frank ,
Entrepreneurs ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Stress Tests ,
UK ,
UK Brexit ,
Venture Capital ,
Wells Fargo
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
2/7/2018
/ Central Counterparties ,
Enforcement Actions ,
EU ,
GAO ,
Interest Rate Swaps ,
Liquidity ,
Money Market Funds ,
Price Manipulation ,
Risk Management ,
Stress Tests ,
UK
In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
1/26/2018
/ Consumer Financial Products ,
Corporate Governance ,
EU ,
EU Benchmark Regulation ,
Financial Crimes ,
Financial Crisis ,
IFRS ,
MiFID II ,
Prudential Standards ,
Terrorist Financing ,
UK
In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...more
The Supreme Court has upheld the High Court’s decision in Miller v Secretary of State for Exiting the European Union. Its judgment confirms that an Act of Parliament is required to authorise the Government to begin the...more
In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
12/21/2016
/ Banking Sector ,
Central Counterparties ,
Credit Rating Agencies ,
Dodd-Frank ,
EU ,
FinTech ,
Foreign Banks ,
Global Systemically Important Banks (G-SIBs) ,
Liquidity ,
Payment Services Directive ,
Regulatory Agenda ,
Stress Tests ,
Systemic Risk Buffer ,
UK ,
Volcker Rule
In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...more
11/21/2016
/ Anti-Money Laundering ,
Bank of England ,
Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Credit Ratings ,
Cybersecurity ,
Department of Financial Services ,
EU ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Federal Bank Regulatory Agencies ,
Federal Reserve ,
Financial Action Task Force ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Markets ,
FinCEN ,
FinTech ,
FSMA ,
HM Treasury ,
Mary Jo White ,
MiFID II ,
OCC ,
Prudential Regulation Authority (PRA) ,
Retail Banks ,
Ring-Fencing ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
Technical Standards ,
UK ,
Universal Proxy Cards
Bank Prudential Regulation & Regulatory Capital -
US Board of Governors of the Federal Reserve System Releases Proposed Rule to Modify Capital Plan and Stress Testing Rules -
On September 26, 2016, the US Board of...more
10/17/2016
/ Block Trades ,
BSA/AML ,
Commodities ,
Cross-Border Transactions ,
EU ,
FinTech ,
Foreign Investment ,
MiFID II ,
Securitization ,
SEFs ,
Shadow Banking ,
Stress Tests ,
UK ,
Underwriting ,
Whistleblower Protection Policies