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The Delta Report – Derivatives Newsletter: September 2016

In this issue of The Delta Report, we bring you further updates on developments in the global derivatives space. In Europe, the focus is on Brexit and the newly-released EU final regulatory standards on the valuation of...more

UK Regulator Consults on Qualification Standards for Financial Advisers

The Financial Conduct Authority published a consultation paper on proposed updates to the current appropriate qualification examination standards. Individuals within regulated firms that, for example, advise on securities,...more

European Supervisory Authorities Opines on Final Draft Technical Standards on Uncleared Derivatives

The Joint Committee of the European Supervisory Authorities published an Opinion on the European Commission's proposed amendments to the final draft Regulatory Technical Standards on risk mitigation techniques for uncleared...more

UK Regulator Bans Sole Trader Investment Business from the UK Financial Services Industry  

The FCA concluded that Ms. Parry’s actions amounted to a failure to act with integrity and were therefore in contravention of Statement of Principle 1 of the FCA’s Statements of Principle. Furthermore, the FCA concluded that...more

Orrick's Financial Industry Week in Review

Financial Industry Developments - OCC Discusses Marketplace Lending - On September 13, 2016, Comptroller of the Currency Thomas J. Curry discussed marketplace lending's risks and associated policy questions. He...more

This Week in FCPA-Epiode 23, the Wells Fargo edition [Video]

In this week's episode, Jay Rosen and I discuss the following: Show notes for this week’s edition: 1. Tom's week long series on Well’s Fargo scandal. 2. Christina Muehl’s two part series on Corruption, Crime and...more

Providing Brokerage Services in Commodities in the UAE: futures and derivatives trading

To perform as a trader (broker) of commodities in the UAE the company (a legal entity incorporated according to the UAE law or foreign company incorporated outside the UAE) needs to carry out the necessary procedures to...more

FCPA Compliance Report-Episode 280-Tim Hedley and Rich Girgenti on their new book The New Era of Regulatory Enforcement [Video]

In this episode, authors Tim Hedley and Rich Girgenti discuss their new book The New Era of Regulatory Enforcement. ...more

Your daily dose of financial news - The Brief – 9.21.16

Testifying before the Senate Banking Committee yesterday, Wells Fargo CEO John Stumpf admitted that the illegal sham-account-creation activity at the heart of its recent SEC fine may have begun earlier than first reported....more

European Parliament Votes to Object to PRIIPs Implementing Legislation

The European Parliament voted to object to draft regulatory technical standards (“RTS”) implementing the Packaged Retail and Insurance Investment Products (PRIIPs) Regulation (the “Regulation”) on 14 September 2016. The draft...more

FCPA Compliance Report-Episode 279-Adam Turteltaub on the SCCE 2016 Compliance and Ethics Institute [Video]

In this episode I visit with Adam Turteltaub about the upcoming SCCE 2016 Compliance and Ethics Institute. ...more

Corporate and Financial Weekly Digest - Volume XI, Issue 36

BROKER-DEALER - SEC Chair Gives Speech on Equity Market Structure - On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Equity Market Structure in 2016 and for the Future”...more

Bridging the Week - September 2016 #2

Just in Time for Football Season, CFTC Chairman Decides to Punt Swap De Minimis Threshold for One Year: Chairman Timothy Massad of the Commodity Futures Trading Commission announced his intention to recommend to his fellow...more

International Consultation on Good Practices for Fees and Expenses Collective for Investment Schemes 

The International Organization of Securities Commissions published a final report outlining good practices on fees and expenses for collective investment schemes. The report is aimed only at CISs whose shares or units are...more

New Foreign Investment Control of UK Critical Infrastructure Projects

Changes will align the UK’s policy framework for ownership and control of critical infrastructure with other major economies. On 15 September 2016, the UK Government announced its delayed approval of the proposed...more

Brexit: A Financial Free Zone Within the City

The UK Government recently indicated that it intends to negotiate a unique EU-UK relationship post-Brexit. It is hoped that the arrangements will be appropriate for the UK and London’s position as a leading international...more

With-Hold on a second?! New ISE rule leads to automatic de-listing of debt securities at scheduled maturity

Picture this: it’s 1793. In England, George III is on the throne and the Bank of England issues the first ever ‘fiver’. In the U.S.A, George Washington hosts the first US cabinet meeting as President and the capital moves...more

Financial Stability Board Reports on Implementation of Over-the-Counter Derivatives Reforms 

The Financial Stability Board published its eleventh progress report on the implementation of reforms by standard-setting bodies, national and regional authorities and market participants to the over-the-counter derivatives...more

Orrick's Financial Industry Week in Review

Financial Industry Developments - Agencies Publish Study on Banking Activities and Investments under Dodd-Frank - On September 8, 2016, the Board of Governors of the Federal Reserve System, Federal Deposit Insurance...more

China’s Draft Foreign Investment Law Still under Review, but “Negative List” System Comes into Effect Nationwide October 1

A February 2015 Morrison & Foerster client alert reported on the issuance of a new draft Foreign Investment Law (“FIL”) that, if promulgated, would institute far-reaching changes to the Chinese government’s oversight of...more

This Week In Securities Litigation

The Commission prevailed in a jury trial this week against the City of Miami and its budget director in an action centered on three bond offerings. Cases brought by the agency this week also included: one against a firm and...more

Spoofing, Sports and the Panama Papers: BakerHostetler Offers Mid-Year Review of Cross-Border Government Investigations and...

Halfway through 2016, the international community has seen a staggering variety of cross-border investigations and enforcement actions. Brexit, the release of the Panama Papers, allegations of widespread sports doping and the...more

This Week in FCPA-Epiode 22, the Jimmy Garappolo edition [Video]

In this episode Jay Rosen and I discuss: 1. Harris Corp, China-business unit head settles FCPA matter, for the SEC Cease and Desist Order; 2. Wells Fargo fraudulent accounts scandal; 3. Telia reports $1.4bn demand to...more

Brexit and MiFID II implementation in the UK – impacts on foreign markets

The looming Brexit – the withdrawal of the UK from the European Union – has prompted legal uncertainty regarding the implementation of pending EU financial regulations, among them MiFIR and MiFID II. In response to the EU...more

Structured Thoughts: News for the financial services community, Volume 7, Issue 9

Updating Unregistered Structured Note Programs: How Frequently? - For some types of securities offering programs, we have “black letter law” that instructs issuers how frequently the program documentation should be...more

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