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Financial Services Quarterly Report - Second Quarter 2017: U.S. CFTC Takes Steps to Modernize Rules and Operations and to Reduce...

by Dechert LLP on

Against a backdrop of changing markets, rapidly evolving technology and increased jurisdiction, the U.S. Commodity Futures Trading Commission (CFTC) – the regulatory agency with responsibility for oversight of the U.S....more

French Export Credit Agency Changes

by Latham & Watkins LLP on

After seven decades as France’s export credit agency (ECA), on 31 December 2016, Compagnie Française d’Assurance pour le Commerce Extérieur (Coface) transferred its State export credit guarantee activities to Bpifrance...more

ManattJones Global Strategies - May 2017

CEO Executive Summary: Early April felt almost normal. There was no blowup in U.S.-Mexico relations and the Mexican economy performed well. Then came President Trump’s renewed broadsides, insisting that Mexico will pay for...more

CFIUS Reform Turns to Food Security

by Hogan Lovells on

Congressional efforts to reform the Committee on Foreign Investment in the United States (CFIUS), a U.S. Government interagency committee that conducts national security reviews, continue apace. This week saw the introduction...more

Proposed Revisions to EU Supervisory Reporting Requirements for Sovereign Exposures and Operational Risk

by Shearman & Sterling LLP on

The European Banking Authority published a consultation paper proposing revisions to the Implementing Technical Standards on supervisory reporting.The ITS on supervisory reporting collate the prudential reporting requirements...more

Financial Regulatory Developments Focus - November 2016

by Shearman & Sterling LLP on

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

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The SEC filed a settled FCPA action in which the employees in the China subsidiary of the firm designed and adopted a bribery scheme to circumvent the compliance procedures the company had installed as a result of an earlier...more

Financial Regulatory Developments Focus - June 2016 #2

by Shearman & Sterling LLP on

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

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The Second Circuit rejected a challenge to the SEC’s venue selection decisions, concluding that the district court did not have jurisdiction to hear an issue regarding the Appointments Clause. This is the third circuit court...more

UK Financial Regulatory Developments - April 2016 #17

by Dentons on

ABI consults on language for retirement options - ABI is consulting on a draft guide to simplifying language on retirement choices to ensure customers understand their choices – and generally to improve use of terms...more

New EU Regulation on Securities Financing Transactions and Reuse of Collateral

by Dechert LLP on

Regulatory context - The regulation on transparency of securities financing transactions and of reuse (the “Regulation”) stems from a belief that the 2007-08 global financial crisis revealed excessive speculative...more

EBA publishes webpage on CRD4 penalties

by Dentons on

EBA has published a webpage on administrative penalties under the fourth Capital Requirements Directive (CRD4). ...more

National security clampdown on foreign deals

by White & Case LLP on

Countries around the world have been increasingly focusing on national security reviews of foreign direct investments into their markets. The three countries where national security reviews can potentially have a...more

ICO upholds FCA FOI disclosure refusal

by Dentons on

ICO has upheld the FCA decision to refuse to disclose certain information under the Freedom of Information Act 2000 (FOI) relating to countries FCA deems to present a high money laundering risk. FCA had been asked to disclose...more

"EU Lawmakers May Delay MiFID 2 Implementation"

Yesterday’s press reports indicate that European Union lawmakers are likely to delay MiFID 2 implementation. MiFID 2 is the name given to the EU laws which will reform EU securities and derivatives markets. Once implemented,...more

China’s Reform on Administration of Foreign Debts – What to Expect

by White & Case LLP on

On 14 September 2015, the PRC National Development and Reform Commission (“NDRC”) promulgated the Circular on Promoting Reform on the Administration of Filing and Registration of Foreign Debt Issued by Enterprises. The...more

Analysis of Close Proximity Issues in Transactions Reviewed by CFIUS

by White & Case LLP on

A US business’ close proximity to facilities or areas considered sensitive by the US Government can raise concerns when the Committee on Foreign Investment in the United States (CFIUS) is evaluating the potential national...more

China Regulatory Enforcement Quarterly - Q2 2015

by DLA Piper on

The Chinese regulatory enforcement landscape is still very active for the second quarter of 2015. In the absence of high-profile enforcement actions against Communist Party officials, Chinese authorities appear to be...more

SEC Charges EB-5 Brokers with Violation of the Exchange Act

by Blank Rome LLP on

Action Item: In what is expected to be the first of many cease-and-desist orders made by the SEC against brokers handling investments in EB-5 investment projects, all EB-5 organizers and sponsors, through their due diligence,...more

The Financial Report - Volume 4, No. 12 • June 2015 (Global)

by DLA Piper on

Discussion and Analysis - Golf fans were captivated by the US Open played at Chambers Bay, a public course overlooking Puget Sound in Washington state, which concluded on Sunday. The Wall Street Journal’s sports...more

Regulatory Risk Update: The Fair And Effective Markets Review - Recommendations To Strengthen UK Regulation Of FICC Markets And...

by DLA Piper on

In the wake of a number of recent high profile LIBOR and Forex market abuses, the Chancellor of the Exchequer and the Governor of the Bank of England established the Fair and Effective Markets Review ("FEMR") in June 2014 to...more

Non-U.S. Investment Funds and Managers: Regulatory Framework for Raising Capital in the United States

by Allen & Overy LLP on

U.S. regulation of money managers, including non-U.S. managers, and the funds they manage is a complex regime that has changed significantly since the implementation of the Dodd-Frank Reform and Consumer Protection Act of...more

The Impact of Newman on SEC Enforcement: Part IV

by Dorsey & Whitney LLP on

This is the fourth segment of a five part series discussing the impact of the Second Circuit’s ruling in Newman on SEC insider trading cases. Post Newman SEC Actions (continued) - 2. Administrative proceedings...more

BEA Filing Deadline Looms For US Persons With Foreign Affiliates

Every five years, the US Department of Commerce's Bureau of Economic Analysis (BEA) conducts a survey concerning the extent of investment abroad by US individuals and entities (US persons). In the past, only US persons...more

ESMA Responds to Prospective Directive and Securitization Consultations

ESMA has responded to the European Commission’s consultations on the Prospective Directive and Securitization, recommending, in relation to prospectuses, an approach that would facilitate access to capital, while stressing...more

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