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Your Daily Dose of Financial News

It may lack some of the flourish of a BBG missive, but you can be sure that plenty of insiders are paying close attention to Mr. Buffet’s annual letter to Berkshire Hathaway shareholders....more

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

AIFMD - ESMA Updates Q&As on the Application of the AIFMD - ESMA updated its Q&As on 16 December on the application of the AIFMD. The revised Q&As include one updated question and answer on reporting obligations by...more

Multijurisdictional Securitization in the Age of Risk Retention

The challenges of complying with both the US rules and the EU rules. Both United States and European Union laws now require 5 percent credit risk retention for securitization transactions. While the jurisdictional scope...more

Update: Prudential Regulators Delay Compliance Deadline for New Swap Margin Rules

If you have been following our alerts on the pending deadlines (and the delays of these deadlines by certain regulators) of the new swap variation margin rules (New Swap Margin Rules) that were due to go into effect on March...more

"Regulators Provide Some Flexibility on the Swaps Variation Margin Compliance Deadline"

On February 23, 2017, U.S. federal banking regulators (Prudential Regulators), European regulators and the International Organization of Securities Commissions (IOSCO) issued statements clarifying their expectations on...more

Day 19 of One Month to a Better Board-Three Core Areas of Board Inquiry [Video]

There are three core areas upon which Directors should focus their attention to help establish and maintain an effective compliance program. In this podcast I discuss the three which are: (1) structural, (2) cultural, (3)...more

European Regulators to Take Risk-Based Approach to Variation Margin Compliance

On February 23, 2017, the European Supervisory Authorities (ESAs) announced that neither the ESAs nor competent authorities (CAs) would provide over-the-counter (OTC) derivatives dealers subject to European Market...more

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

Enforcement of the 2016 Financial Information Published by Issuers Subject to the Transparency Law - In accordance with the Luxembourg law of 11 January 2008 on transparency requirements for issuers, the CSSF monitors...more

Your Daily Dose of Financial News

FinCEN is extending its campaign to press title insurance companies to reveal the real buyers behind shell companies that pay cash for high-end real estate deals in select cities around the country....more

Orrick's Financial Industry Week In Review

Financial Industry Developments - New York Department of Financial Services Promulgates First-in-the-Nation State Cybersecurity Regulation - On February 16, 2017, the New York Department of Financial Institutions...more

Global Loan Fund Survey Reveals No Regulatory Action Required at Present

The International Organization of Securities Commissions published a report on the findings of the survey on loan funds that was carried out during 2016. The report covers loan funds in the area of investment funds and...more

Day 18 of One Month to a Better Board-Six Areas of Board Inquiry into Compliance [Video]

Where does “Tone at the Top” start. With any public and most private US companies, it is at the Board of Directors. But what is the role of a company’s Board in FCPA compliance? We start with several general statements about...more

Asset-backed sukuk: Is the time right for true securitisation?

In the 'conventional' finance space, asset-backed financings have proved a successful method of funding social and civil infrastructure. However, in Islamic finance, asset-backed sukuk have not yet taken off. The...more

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

Central Bank Signs Off on CP86 with a Location Rule Compromise - The Central Bank published its Third Consultation and Feedback Statement on CP86 on 19 December 2016. While the multi-location rule was abandoned, the...more

Bank of Italy finally clears direct lending into Italy by EU AIFs

On 23 December 2016, the Bank of Italy finally adopted the regulation (the Regulation) aimed at clearing terms and conditions of direct lending into Italy by EU AIFs. The Regulation was published in the Italian Official...more

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

BaFin Publishes KAMaRisk - BaFin published the “Minimum Requirements on Risk Management for Investment Management Companies (Mindestanforderungen an das Risikomanagement für Kapitalverwaltungsgesellschaften -...more

FCPA Compliance Report-Episode 309-James Koukios [Video]

In this episode I visit with Morrison Forrester partner James Koukios on the firm's December newsletter on the Top Ten International Anti-Corruption Developments for December 2016. James and I visit about some of the lesser...more

Day 17 of One Month to a Better Board-Incorporating Compliance into Long-Term Corporate Strategy [Video]

In this final five days of my One Month to a Better Board series, I will look at inquiries and questions a Board can take to help the organization actually do compliance going forward. I begin with an exploration of how can a...more

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

AMF Consultations - Corporate Finance Advice and Intermediation in Miscellaneous Assets - The Autorité des Marchés Financiers (the “AMF”, the French financial markets authority) has recently launched two public...more

FCPA Compliance Report-Episode 308-Ben Locwin on Forecasting  [Video]

In this first part of a three part series on the risk management process, noted risk management guru Ben Locwin and I visit about forecasting in the risk management process. ...more

Day 16 of One Month to a Better Board-the Board and Succession Planning [Video]

Yesterday, I considered the Board of Director’s role in hiring of senior executives and in other key positions and corporate positions and corporate relationships. Today I want to consider the Board’s role in succession...more

Your Daily Dose of Financial News

Activist investor Carl Icahn has taken a sizeable stake in Bristol-Myers Squibb, a move that reportedly caught execs at the drugmaker unawares and sets the stage for a potential sale....more

UK Government Publishes Final Policy on Transposing MiFID II 

HM Treasury published a paper summarizing responses to its consultation on the transposition of the revised Markets in Financial Instruments Directive and three draft statutory instruments to facilitate transposition. Member...more

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

Day 15 of One Month to a Better Board-the Board Role in Hiring [Video]

What is the role of a Board of Directors in hiring senior executives, Chief Compliance Officers and even other Board members? I recently explored this issue with Candice Tal, founder and CEO of Infortal, a global security and...more

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