International Law & Trade, Insurance, Securities Law

Financial Services Quarterly Report - First Quarter 2013: New Rules for China’s RQFII Regime

by Angelyn Lim, Kylee Zhu | Dechert LLP on 3/27/2013

At the January Asian Financial Forum in Hong Kong, the Chairman of the China Securities Regulatory Commission (“CSRC”), Mr. Guo Shu Qing, stated that Mainland China could increase the level of investment quotas for both the...more

The New Year Brings New Sanctions Against Iran

by King & Spalding on 1/25/2013

As 2013 begins, the United States has reiterated its commitment to countering the threat posed by Iran by passing new legislation, issuing new regulations and guidance, and bringing into effect new requirements to increase...more

Iran Sanctions Update

by Jonathan M. Epstein | Holland & Knight LLP on 1/16/2013

The United States continues to impose additional layers of sanctions on Iran. The rate of change and complexity of U.S. sanctions laws present challenges, particularly where these sanctions have extraterritorial effect on the...more

SEC Charges Allianz with FCPA Violations

by David Smyth | Brooks Pierce on 1/2/2013

On December 17th, the SEC brought a settled administrative FCPA action against Allianz SE, a German insurance company with a subsidiary in Indonesia. The order does not allege violations of the FCPA’s antibribery provisions,...more

The Allianz FCPA Enforcement Action – What the Compliance Practitioner Needs to Know

by Thomas Fox on 1/2/2013

Who is your favorite character from the Iliad? Is it Agamemnon the king who brings the Greek Armada to Troy for his brother’s honor; perhaps Ajax the mountain of a man who is the most loyal Greek warrior; how about Achilles...more

The European Commission Adopts AIFMD Implementing Regulation

by Proskauer Rose LLP on 12/21/2012

On 19 December 2012, the European Commission (the Commission) adopted implementing rules (the Regulation) for the Directive on Alternative Investment Fund Managers (the AIFMD or Directive). The Regulation supplements certain...more

Allianz To Pay $12.3M To Settle SEC’s Bribery Allegations

by Raymond Banoun | Cadwalader, Wickersham & Taft LLP on 12/20/2012

On December 17, 2012, the Securities and Exchange Commission ("SEC") announced that Allianz SE ("Allianz"), a German-based insurance and asset management company, had agreed to pay approximately $12.3 million to settle...more

Ritholtz: 'Dot Com Bonus Envy' Stymies Wall St. Reform [Video]

by Bloomberg Law on 12/5/2012

Dec. 5 (Bloomberg Law) -- The unregulated multi-trillion dollar derivatives market exceeds global GDP and poses a clear danger to the global economy, Chris Whalen, Senior Managing Director at Tangent Capital Partners, and...more

OCC Retail Foreign Exchange Proposed Rule

by Orrick - Structured Finance Group on 11/9/2012

On October 31, the OCC proposed to amend its retail foreign exchange rule for transactions with collective investment funds and insurance company separate accounts by treating them as if they were not retail customers under...more

The FCPA and Insurance Coverage: Five Strategies for Protecting Against the Financial Costs of an FCPA Claim

by Gilbert LLP on 10/29/2012

In an era of high profile Wall Street prosecutions and shareholder derivative suits, the phrase “Foreign Corruption Practices Act” (“FCPA”) surely should have corporate officers and executives deeply concerned and vigilant....more

Joint Forum Finalizes Guidelines on Supervision of Financial Conglomerates

by BuckleySandler LLP on 10/1/2012

On September 24, the Joint Forum, which brings together the Basel Committee on Banking Supervision, the International Organization of Securities Commissions, and the International Association of Insurance Supervisors to...more

Financial Markets Law & Regulation Update n°21/2012

by Andrea Luciano on 9/25/2012

Update on EU and Italian laws & regulation in Financial Markets, Funds, Banking and Insurance, 17 – 23 September 2012....more

Insurance Holding Company Act Amendments of 2012

by Duane Morris LLP on 7/19/2012

During the 2008-09 global financial crisis, no major U.S. insurance company became insolvent. However, the mammoth AIG empire shook to its core and exacerbated a worldwide financial crisis due to the activities of a...more

Showing Substance - Offshore Independent Directors for PE Funds - www.privateequitymanager.com

by David Lloyd on 3/1/2012

More emerging market fund managers are seeking the services of offshore non-executive directors. David Charles Lloyd of Walkers Management Services explains some of the intricacies around their function....more

Orrick's Financial Industry Week in Review - November 14, 2011

by Orrick, Herrington & Sutcliffe LLP on 11/14/2011

In This Issue: -Financial Industry Developments · Basel Committee Final Rules on G-SIBs · FHFA Response to Senators' Letter on Executive Compensation · MSRB Request for Comment on Definition of...more

The FSA Bares its Teeth: Be Aware of International Enforcement Regimes

by Thomas Fox on 7/22/2011

While many companies here in the US complain about the enforcement of the Foreign Corrupt Practices Act (FCPA), and are actively seeking to soften its enforcement by lobbying Congress to amend the FCPA, just imagine how they...more

What's in store? Exploring issues in commodity storage and warehousing

by Reed Smith on 2/8/2011

As demand for storage capacity for the world's most commonly traded commodities grows, governments and major private commodity trading companies are investing heavily in warehousing and tank capacity. Storage space is a...more

European Council Approves the European Securities and Markets Authority

by Katten Muchin Rosenman LLP on 11/22/2010

On November 17, the European Council announced that it had approved the regulation establishing the European Securities and Markets Authority (ESMA). The Council also adopted without debate the so-called “Omnibus I...more

Corporate and Financial Weekly Digest - June 11, 2010

by Katten Muchin Rosenman LLP on 6/14/2010

In This Issue: *SEC/CORPORATE ..SEC Issues New Compliance and Disclosure Interpretations *BROKER DEALER ..SEC Approves New Stock-by-Stock Circuit Breakers Rules *CFTC ..CFTC Proposes Rules Requiring Equal Access to...more

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International Law & Trade › Insurance › Securities Law

Financial Services Quarterly Report - First Quarter 2013: New Rules for China’s RQFII Regime

The New Year Brings New Sanctions Against Iran

Iran Sanctions Update

SEC Charges Allianz with FCPA Violations

The Allianz FCPA Enforcement Action – What the Compliance Practitioner Needs to Know

The European Commission Adopts AIFMD Implementing Regulation

Allianz To Pay $12.3M To Settle SEC’s Bribery Allegations

Ritholtz: 'Dot Com Bonus Envy' Stymies Wall St. Reform [Video]

OCC Retail Foreign Exchange Proposed Rule

The FCPA and Insurance Coverage: Five Strategies for Protecting Against the Financial Costs of an FCPA Claim

Joint Forum Finalizes Guidelines on Supervision of Financial Conglomerates

Financial Markets Law & Regulation Update n°21/2012

Insurance Holding Company Act Amendments of 2012

Showing Substance - Offshore Independent Directors for PE Funds - www.privateequitymanager.com

Orrick's Financial Industry Week in Review - November 14, 2011

The FSA Bares its Teeth: Be Aware of International Enforcement Regimes

What's in store? Exploring issues in commodity storage and warehousing

European Council Approves the European Securities and Markets Authority

Corporate and Financial Weekly Digest - June 11, 2010

Ritholtz: 'Dot Com Bonus Envy' Stymies Wall St. Reform [Video]

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