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Compliance into the Weeds-Episode 33, Enhancing Culture [Video]

In this episode, we take a look at a recent speech given by NY Fed Chairman William Dudley in London where he addressed improving corporate culture. Dudley provided three recommended steps. First, a bank must decide on its...more

European Labour & Employment Update - March 2017

New rules have come into force concerning employees' rights to disconnect from digital devices outside normal working time. From 1 January 2017, all relevant employers must negotiate on the employees' right to have periods...more

Germany: Termination for Breach of US Regulatory Rules Not Permissible, European Labour & Employment Update

The New York State Department of Financial Services ("NYDFS") required Commerzbank to terminate the employment of a Germany-based employee on the basis that he played "a central role" in the breaching of US sanctions...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

EMIR - Spanish Pension Schemes Exempt and Updated Q&A - On 25 January, ESMA issued its opinion confirming the exemption from the EMIR clearing obligation for certain Spanish pension schemes....more

Immigration Fact and Fiction for the U.S. Employer: Customs and Border Protection (CBP) When You Depart the United States – Cash...

Moving forward in our series of separating fact from fiction, we address the question whether Customs and Border Protection (CBP) plays any role when a passenger, even a United States citizen departs the United States....more

Exposing Bad Practice in Financial Services – Are New Whistleblowing Regulations Working towards Encouraging a Culture of...

September 2016 saw the enforcement of new rules by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) that aimed at increasing confidence amongst financial services employees and encouraging...more

The new regulatory references regime in the UK

The UK's Financial Conduct Authority and the Prudential Regulation Authority are introducing a new tool to enhance the accountability regime being rolled out in the financial services sector. On 7 March 2017, the new...more

Dentons' pick of global regulatory trends to watch in 2017 - Public affairs

Focus on the US - The first few months of the political calendar in the US will be dynamic and marked by significant policy and regulatory developments as the presidency of Donald Trump and new US Congress take shape....more

Funds Talk: February 2017

Private Fund Advisers, Robo-Advisers, ETFs Among SEC, FINRA Exam Priorities for 2017 - As the new year begins, U.S. regulators highlighted the areas – some new and some familiar – which will be the focus of their...more

Your Daily Dose of Financial News

Turns out the Fed’s plate isn’t just full of decisions surrounding interest rates. It’s got a massive portfolio of mortgage and Treasury securities that needs some serious tending, too....more

HMRC Publishes Guidance on the Tax Treatment of Clawback of Remuneration in the UK

Since the financial crisis of 2008 / 2009, swathes of new regulations have been introduced governing various aspects of remuneration in the financial services sector. A key feature of these rules is the compulsory clawback of...more

Structured Thoughts: News for the financial services community, Volume 7, Issue 12

FDIC Adopts New Recordkeeping Requirements for Large Banks – Modifies Original Proposal as to Brokered CDs - In November 2016, the FDIC approved a final rule establishing recordkeeping requirements for insured...more

EB-5 Program Gets Temporary Extension; USCIS Issues New EB-5 Policy Manual

The EB-5 Regional Center Program has been extended through April 28, 2017, following the passage of a continuing resolution (CR) by Congress that narrowly avoided a government shutdown. The CR provides continued funding...more

Much-Anticipated Section 871(m) Dividend Equivalent Guidance Provides Promised Transition Relief

The U.S. Internal Revenue Service (the “IRS”) has released Notice 2016-76, providing anticipated guidance and transition relief for certain dividend equivalent transactions described in section 871(m) of the U.S. Internal...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - SEC Adopts Final Rules to Facilitate Intrastate and Regional Securities Offerings - On October 26, 2016, the Securities and Exchange Commission adopted rules designed to modernize...more

Update: EB-5 Regional Center Program Receives Short-Term Extension

On September 29, 2016, as part of recently enacted federal spending legislation, the EB-5 Regional Center Program received a short-term extension through December 9, 2016. The Program has been similarly extended, with no...more

The Senior Managers Regime – should GCs be worried?

In March this year the PRA and the FCA introduced the Senior Managers Regime (‘SMR’) for individuals associated with banks and PRA regulated investment firms (from 2018 the SMR will apply to all UK authorised firms). The...more

EB-5 Program Extended by Continuing Resolution to December 9 Without Changes

The U.S. Immigrant Investor Program (EB-5) has been extended through December 9, 2016, following the recent signing of a continuing resolution to fund the federal government and avoid a shutdown. The EB-5 Program provides a...more

UK Regulators Propose Extending Some of Their Whistleblowing Requirements to UK Branches of Overseas Banks

The Prudential Regulation Authority and the Financial Conduct Authority launched separate consultations on proposals to extend some of their whistleblowing requirements to UK branches of non-EEA banks. The proposals do not...more

Workplace Policy Institute Insider Report - October 2016

Littler's Workplace Policy Institute Insider Report details key labor, employment, and benefits news and events at the federal, state, local, and global levels. The October edition of the Insider Report examines what Congress...more

International Entrepreneurs New Proposed Work Authorization for Founders of Start-Up’s And a Comparison to Other Visa Options

On August 31, 2016 the Department of Homeland Security (DHS) proposed an “International Entrepreneur” (I.E.) rule that would allow qualifying foreign investors to develop and grow their start-up companies in the United...more

ESMA Publishes Guidelines for UCITS V Remuneration Policy

The guidelines, which apply from 1 January 2017, seek to clarify the concepts of disclosure, governance, and risk alignment in respect of remuneration; in advance of this date, non-EU investment managers of UCITS should...more

Ten Key Legal Issues to Consider When Moving Stateside

Stateside - Even before the uncertainties following the Brexit referendum result, a move to the U.S. was an attractive proposition for high growth UK businesses. Common language, similar culture, access to capital and a...more

Bridging the Week - August 2016 #3

Another Publicly Traded Firm Sanctioned by SEC For Allegedly Undercutting Whistleblower Protections Through Severance Agreements: Health Net, Inc., a formerly publicly traded company whose securities were registered with the...more

Structured Thoughts: News for the financial services community, Volume 7, Issue 8

Brexit and Structured Products: A Framework for Considering Disclosures - The U.K.’s recent referendum to withdraw from the European Union has affected virtually all segments of the financial industry. The structured...more

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