News & Analysis as of

IOSCO

IOSCO thematic review: recommendations for the regulation of custodians

by DLA Piper on

In our May 2017 update we discussed the International Monetary Fund's (IMF) 2017 report on New Zealand's financial sector. One of the IMF's notable recommendations was for the New Zealand Government to require custodians to...more

Asset Management Regulatory Roundup - July 2017 - Issue 2

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on the updated Q&As published by ESMA in relation to the AIFMD and UCITS, IOSCO's...more

The Financial Report, Volume 6, Number 13

by DLA Piper on

Discussion and Analysis - Two of our items today focus on remarks by new SEC Chairman Jay Clayton and, if they are any indication of the direction the new Chairman intends to take the Commission, they could go a long way to...more

Key Regulatory Topics: Weekly Update - 30 June 2017 – 6 July 2017

by Allen & Overy LLP on

CAPITAL MARKETS AND MARKET INFRASTRUCTURE - See Recovery and Resolution section for an update on CCP recovery and resolution. FCA makes available draft forms for benchmark administrators - On 6 July, as part of their...more

FCA Releases Discussion Paper on Distributed Ledger Technology

by Reed Smith on

As discussed in our alert of 2 March 2017 global regulators are paying increasing attention to distributed ledger technology (DLT) (also known as blockchain). The European Securities and Markets Authority (ESMA) and the U.S....more

The Financial Report, Volume 6, Number 11

by DLA Piper on

Discussion and Analysis - In an opinion piece published in the Wall Street Journal on May 23, Labor Secretary Alexander Acosta announced that, out of respect for the “rule of law,” the controversial “Fiduciary Rule” will go...more

Blockchain and the financial markets: Will 2017 be the year of the regulators? New rules covering blockchain and distributed...

by White & Case LLP on

In 2016, policy makers and regulators started to take an active interest in blockchain and distributed ledger technology (DLT). However, many adopted a "wait and see" approach rather than producing binding regulations. 2017...more

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

by Dechert LLP on

New Central Bank Investment Firms Regulations 2017 - The Central Bank published the Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Investment Firms) Regulations 2017 on 13 March 2017. The new...more

Appetite for Masala Bonds grows

by DLA Piper on

Borrowing by Indian companies from the overseas market or "External Commercial Borrowings" (commonly referred to as ECBs), is regulated by the Reserve Bank of India (RBI) and is governed by the various rules specified by the...more

G20 Leaders Publish Communique 

by Shearman & Sterling LLP on

The G20 Leaders have published a Communique from the Summit held in Germany. The G20 Leaders reiterated their commitment to finalizing the remaining elements of the financial sector reform agenda and to conducting a...more

Financial Stability Board Consults on Unique Transaction Identifier Governance Arrangements

by Shearman & Sterling LLP on

The Financial Stability Board began a consultation on draft governance arrangements for the Unique Transaction Identifier. The UTI is a critical element for the production and sharing of global aggregated derivatives...more

Final Global Guidance on Unique Transaction Identifier Published

by Shearman & Sterling LLP on

The Committee on Payments and Market Infrastructures and the International Organization of Securities Commissions have published Technical Guidance on the harmonization of the Unique Transaction Identifier. The development of...more

Funds Bulletin - February 2017

by Hogan Lovells on

Funds Bulletin (a monthly round-up of topical legal, regulatory and tax issues affecting the fund industry). Features our summary of the FSCP's position paper on the impact of Brexit on financial services consumers, as well...more

Financial Stability Board Targets Fund Finance

by Dechert LLP on

In marked contrast to the emerging U.S. deregulatory climate, the G-20’s Financial Stability Board (FSB) has issued Policy Recommendations for the regulation of four “structural vulnerabilities” in the asset management...more

Regulators Prepare for Innovation in Distributed Ledger Technology

by Reed Smith on

Regulators across the globe are considering how existing regulations may accommodate the development of new distributed ledger technologies (“DLT”) (also known as “blockchain”). In just the first two months of 2017, the U.S....more

Orrick's Financial Industry Week In Review

CFTC Indicates Willingness to Help Incubate Fintech - On February 21, 2017, J. Christopher Giancarlo, the acting chairman of the U.S. Commodity Futures Trading Commission ("CFTC"), has diverged from other U.S. federal...more

ESAs and IOSCO Publish Statements on Variation of Margin Exchange under EMIR

On February 23, 2017, the Joint Committee of European Supervisory Authorities (“ESAs“) published a statement on variation margin exchange under the EMIR regulatory technical standards (“RTS“) on risk mitigation techniques for...more

Regulators Issue Guidance on Approach to Non-compliance with the Impending Variation of Margin Exchange Requirement

by Shearman & Sterling LLP on

The European Supervisory Authorities, the Financial Conduct Authority, the US prudential regulators, including the Federal Reserve Board and the Office of the Comptroller of the Currency, and the International Organization of...more

US SEC and Hong Kong SFC Sign New Memorandum of Understanding

by Proskauer Rose LLP on

The US Securities and Exchange Commission (SEC) and the Hong Kong Securities and Futures Commission (SFC) have signed a Memorandum of Understanding (MOU) which came into effect on January 18, 2017. The subject of the MOU is...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

Global Loan Fund Survey Reveals No Regulatory Action Required at Present

by Shearman & Sterling LLP on

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

The promise of FinTech - More regulatory pointers

by DLA Piper on

Earlier this month, we discussed the key results and considerations from IOSCO's updated survey on the use of automated investment advice. IOSCO noted that technology tools will affect all elements of the advice value chain...more

International Organization of Securities Commissions Publishes FinTech Research Report

by Shearman & Sterling LLP on

The International Organization of Securities Commissions published a research Report on financial technologies, or FinTech – innovative business models and emerging technologies that have the potential to transform the...more

The Financial Report, Volume 6, Number 3

by DLA Piper on

The Ninth Circuit Court of Appeals in San Francisco is poised to rule on, with respect to President Donald Trump’s recent executive order on immigration, the question of how much power a president has to issue executive...more

Bridging the Week - February 2017 #2

Retail Foreign Exchange Dealer Agrees With CFTC and NFA to Cease Doing Business for Concealing Relationship With Closely Tied Market Maker - Forex Capital Markets, LLC, a retail foreign exchange dealer, and two of its...more

197 Results
|
View per page
Page: of 8
Cybersecurity

"My best business intelligence,
in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up using*

Already signed up? Log in here

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.