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Your daily dose of financial news The Brief – 5.6.16

And just as quickly as he was back on the scene, now he’s gone. With a wipe of the evidence purporting to show he invented Bitcoin and a new post entitled “I’m sorry,” Craig Steven Wright appears poised to fade back into the...more

Three Key Findings from our 2016 Hotline Benchmark Report

When organizations use a hotline service to capture employee concerns, they introduce valuable data into their compliance programs. However, without knowing how you fare against your peers, data becomes less valuable and...more

UK Financial Regulatory Developments - April 2016 #14

LCR corrigendum published in OJEU - A Corrigendum to amend implementing technical standards (ITS) under the capital requirements regime on the supervisory reporting of institutions of the liquidity coverage requirement...more

UK Financial Regulatory Developments - April 2016 #13

FCA finalises guidance on sharing SME credit information - FCA has published its finalised guidance on Small and Medium Sized Business (Credit Information) Regulations. This follows Treasury’s designation of the banks...more

New and Important Compliance Standards in DOJ’s Recent FCPA Guidance (Part II of II)

The importance of DOJ’s hiring of Hui Chen as Compliance Counsel was recently confirmed by DOJ’s release of new compliance remediation standards for FCPA compliance programs. DOJ has, once again, raised the bar on FCPA...more

The Corporate Human Rights Benchmark Ranks Large Companies' Human Rights Performance

In 2011, the United Nations adopted the UN Guiding Principles on Business and Human Rights (“UN Guiding Principles”), which provide non-binding guidelines on how employers should conduct their business activities to provide...more

Key Findings from NAVEX Global's Third Party Risk Management Benchmark Report

Vendor risk management and, in particular, third party risk management has become one of the toughest issues companies face—especially after a string of high-profile compliance failures in recent years. The majority of...more

Orrick's Financial Industry Week in Review

Litigation Finance: A Brief History of a Growing Industry - Litigation costs money. Litigation finance can provide the cash a plaintiff needs to prevail in court. Plaintiffs holding valid—and potentially quite...more

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

Other EU developments – Benchmark Regulation and Changes to Prospectus Directive - ESMA issued a discussion paper on implementation of the Benchmarks Regulation on 15 February 2016. ...more

UK Financial Regulatory Developments - March 2016 #19

Notifications ITS for EU MAR published in OJEU - The Commission Implementing Regulation laying down implementing technical standards (ITS) concerning the timing, format and template of notifications to competent...more

European Banking Authority Publishes Formula for Creditors to Calculate Rates Under Mortgage Credit Directive

The European Banking Authority published a final Decision setting out the formula to be used by creditors when calculating the benchmark rate under the Mortgage Credit Directive. The MCD requires creditors to provide...more

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

UCITS Regulations 2016 Published - The Undertakings for Collective Investment in Transferable Securities Regulations 2016 (SI 2016/225) were published on 25 February 2016. These implement provisions of the UCITS V...more

EBA Publishes Formula for Calculating MCD Benchmark Rate

The EBA has published its final report setting out the formula that creditors will be required to use when calculating the benchmark rate under Annex II to the Mortgage Credit Directive (2014/17/EU). Under certain...more

CMS Issues a New Medicare Shared Savings Program Proposed Rule and Aims to Encourage Existing Accountable Care Organizations to...

On February 3, 2016, the Centers for Medicare and Medicaid Services (“CMS”) issued a new proposed rule that makes a number of revisions to the Medicare Shared Savings Program (“MSSP”). Several of the proposed changes create...more

The Financial Report - Volume 5, No. 4 - February 2016 (Global)

A recent federal district court decision and a proposed New York State Department of Financial Services regulation have further expanded the risk of liability for chief compliance officers, this time in the context of...more

NAVEX Global’s 2015 Europe, Middle East, Africa and Asia Pacific State of Compliance Programmes Benchmark Report

In 2015, NAVEX Global partnered with an independent research agency to survey ethics and compliance professionals with responsibility for administering training across their organizations. The goal was to determine their top...more

2015 Ethics & Compliance Third Party Risk Management Benchmark Report

Organizations are still coming to terms with the breadth and depth of their third party risk. An effective third party risk management program is in the interest of all organization —regardless of their size, industry, and...more

Second Review of Implementation of the International Principles for Financial Benchmarks

The International Organization of Securities Commissions published its Second Review of the Implementation of IOSCO's Principles for Financial Benchmarks by Administrators of the Euro Inter-Bank Offer Rate, the London...more

ESMA Publishes Discussion Paper on European Benchmarks Regulation

On February 15, the European Securities and Markets Authority (ESMA) published a discussion paper (ESMA/2016/288) (Discussion Paper) regarding implementation of the regulation on indices used as benchmarks in financial...more

UK Financial Regulatory Developments - February 2016 #15

EBA finalises guidelines for DGS cooperation agreements - EBA has published its final guidelines on cooperation agreements between deposit guarantee schemes (DGS) under the revised DGS Directive. The Guidelines set out...more

UK Financial Regulatory Developments - February 2016 #14

ESMA updates EMIR Q&A - ESMA has updated its EMIR Q&A to clarify how the clearing obligation should apply to swaps resulting from the exercise of a swaption, including during the frontloading period and the approach on...more

Proposed Changes to Methodology to Update ACO Benchmarks

The Medicare Shared Savings Program provides financial rewards to Accountable Care Organizations (ACO’s) that successfully manage overall health care costs for a defined population of beneficiaries while meeting quality of...more

The Financial Report - Volume 5, No. 3 - February 2016 (Global)

Democratic presidential candidates Bernie Sanders and Hillary Clinton have been taking jabs at one another about who would do a better job of holding financial services firms and their employees responsible for misconduct....more

Corporate and Financial Weekly Digest - Volume XI, Issue 7

SEC/CORPORATE - SEC Advisory Committee on Small and Emerging Companies to Discuss Capital Formation Landscape for Small and Emerging Companies - The Securities and Exchange Commission announced that its Advisory...more

UK Financial Regulatory Developments - February 2016 #11

WMBA updates benchmark calculation methodology - WMBA has made changes to its calculation methodology for measuring Sterling Overnight Index Average (SONIA) and the Repurchase Overnight Index Average (RONIA). These...more

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