Regulatory Standards

News & Analysis as of

Future of U.K. Data Protection Regs Unclear

As new British Prime Minister Theresa May assembles her new Cabinet, including a new Secretary of State for Exiting the European Union following the June 23, 2016 Brexit referendum outcome, the U.K.'s march forward to leave...more

Australian Competition Law - Update for the aviation industry

Competition law is a regulatory risk which airlines operating in Australia need to manage. The legal changes identified in our update present both opportunities and risks. DLA Piper has significant experience in the...more

FINRA to Assess Member Firms’ Culture

Speaking at the Brookings Institution this April, FINRA head Richard Ketchum emphasized the importance of a broker-dealer having a "culture" that favors the firm’s customers when their interests conflict with those of the...more

Regulatory decisions

Senior managers regime, certification regime and conduct rules - Crucially, this period has seen the start of implementation of the new regime for individual accountability, although it will take a further year for it to...more

Safety, Health and Environment Matters - Spring/Summer 2016

Following the outcome of a so-called Brexit referendum it is clear that a significant period of uncertainty will follow while this country works out its new trading arrangements with fellow European countries and the rest of...more

What is worth remembering from the first half of 2016?

Court decisions/impacts - It is often difficult to identify common themes arising from judgments that happen to be handed down at the same time, and the first half of 2016 has proved no exception. There have, however,...more

VW ‘Dieselgate’ Fueled by Poor Corporate Culture…

…Influenced by poor government regulation. “For a lesson in what not to do in the way of corporate compliance, look at Volkswagen.” So wrote Erika Kelton, a whistleblower attorney and contributor to Forbes....more

UK Financial Regulatory Developments - June 2016 #13

Commission consults on FICOD evaluation - The Commission has launched a consultation on its performance evaluation of the Financial Conglomerates Directive (FICOD). Its purpose is to assess whether the current FICOD...more

Major Federal Food Safety Law Depends on Individual State Enforcement

In 2011, Congress approved the FDA Food Safety Modernization Act in response to several deadly outbreaks of foodborne illnesses. These outbreaks convinced legislators and food industry groups that the then-existing food...more

Your Guide to European Long-Term Investment Funds (ELTIFs)

Strengthening the European economy through sustainable growth and boosting long-term investment is currently at the forefront of the European Union’s (“EU”) economic agenda. This focus on sustainable growth is the key driver...more

Financial Regulatory Developments Focus - May 2016 #2

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Final Preparations for the Market Abuse Regulation

With less than two months until MAR takes effect, we set out below the practical steps London-listed issuers should take. On 3 July 2016, the Market Abuse Regulation (2014/596/EU) (MAR) will come into force and replace...more

Closing the backdoor? A guard at the front door? ASX admission requirements set for an overhaul Corporate Alert

The ASX yesterday released its long anticipated consultation paper "Updating ASX's admission requirements for listed entities". A number of amendments to tighten the admission requirements under the Listing Rules are proposed...more

Environmental Law - May 2016

The Quiet Evolution of Energy Regulation - Public attention to the energy industry over the past decade and more has focused on four issues: (1) the movement from fossil fuels to more emissions-friendly energy sources,...more

Beyond Bitcoin: Blockchain - The Essential Building Block in Designing the Future

Bitcoin relies on its peer-to-peer network to do two things: maintain the authoritative ledger of transactions and issue new currency. The application of the blockchain is anticipated to extend far beyond financial services...more

Blog: The Insurance Distribution Directive – An Introduction

The Insurance Distribution Directive (IMD2) came into force on 22 February 2016; and insurance manufacturers and distributors will have to comply with it from 23 February 2018 (at the latest). We don’t know exactly what that...more

European Securities and Markets Authority Reviews Approach to Supervision of Suitability Requirements under MiFID

The European Securities and Markets Authority published a peer review report on compliance with the suitability requirements under the existing Markets in Financial Instruments Directive. The review assessed during the period...more

Basel Committee on Banking Standards Second Report on Risk-weighted Assets

The Basel Committee on Banking Supervision published a second report on banking book risk-weighted asset valuation. The report forms part of the Regulatory Consistency Assessment Programme with the aim of effecting full...more

Revised London Stock Exchange Admission and Disclosure Standards

New London Stock Exchange Admission and Disclosure Standards came into effect on 4 April 2016. The Admission and Disclosure Standards set out the Exchange's admission and continuing disclosure requirements, other than for...more

Limited liability partnership and partnership accounts: amending regulations

New regulations make changes to the accounting regulatory framework for LLPs to bring it into line with changes made in 2015 to the accounting regulatory framework for companies....more

The new Insurance Distribution Directive – an overview and some initial reflections1

More than 13 years after Directive 2008/92/EC, Europe’s legislators have finally amended the rules governing insurance intermediation, by approving Directive 2016/97/EU of 20 January 2016 (Insurance Distribution Directive or...more

ICYMI: Financial Services Risk Summit

On March 3, 2016, the BakerHostetler Financial Services industry team held its inaugural Financial Services Risk Summit. The speakers and panels addressed several key areas affecting the financial services sector: regulatory...more

An Introduction to the Division of Pension Benefits on Marriage Breakdown in Ontario - Part I

The long-awaited reform of the family law provisions of the Ontario Pension Benefits Act (PBA) came into effect on January 1, 2012, and the passage of time has brought to light the challenges involving the new pension...more

National Industrial Participation in South Africa

This contribution considers the regulatory framework of National Industrial Participation (NIP) in South Africa, and specifically sets out the National Industrial Participation Programme (NIPP) and the NIP Revised Guidelines...more

OCC Proposed Rule Changes under EGRPRA to Reduce Regulatory Burden

On March 14, 2016, the Office of the Comptroller of the Currency (OCC) proposed a number of changes to its rules in order to reduce the regulatory burden for its supervised financial institutions. Such an effort is part of...more

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