Regulatory Standards

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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

UK Financial Regulatory Developments - March 2016 #16

Lloyd’s reports on complaints handling rules - Lloyd’s has published the March edition of its Conduct Standards Newsletter. It provides updates on recent changes to the complaints handling rules and requirements. It also...more

Investment Management Update - March 2016

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. SEC, FINRA...more

Australian competition law - Update for the aviation industry

High Court to hear ACCC appeal of Flight Centre decision regarding carrier agent discussions On 11 March 2016, the High Court granted special leave to the ACCC to appeal the decision of the Full Federal Court in the Flight...more

ESMA Practical Guidance on its Recognition of Third Country CCPS

European Securities and Markets Authority (“ESMA”) has published practical guidance on the recognition by it of third country central counterparties (CCPs) under EMIR (ESMA/2016/365). The guidance is dated March 17, 2016....more

Google Asks Congress For Self-Driving Car Help

As reported almost everywhere, on Tuesday, March 15, Google told a Senate Hearing that Congress should pass legislation regulating self-driving cars. Google, through Chris Urmson (Director, Self-Driving Cars), explained that...more

Revised ISO Standard on Environmental Management Systems Published

A complimentary standard to ISO 14001:2015 was published on March 1, 2016. ISO 14004:2016, titled Environmental Management Systems – General Guidelines and Implementation, aims to provide guidance to organizations in the...more

European Commission Adopts Delegated Regulation Relating to EMIR Clearing Obligations for Certain Credit Derivative Contracts

On March 1, the European Commission adopted a Delegated Regulation supplementing the European Union regulation on derivatives, central counterparties and trade repositories (“EMIR”). EMIR requires mandatory clearing of...more

UK Financial Regulatory Developments - March 2016 #2

Regulators issue compliance statement for Sound Remuneration Policies PRA and FCA have issued a joint statement notifying EBA that the regulators will fully comply with EBA guidelines on Sound Remuneration Policies with...more

FSB Eyeing Global Stability of FinTech Companies

Financial Stability Board chairman Mark Carney has announced that global regulators are evaluating potential stability implications that emerging financial technology poses to the global financial system and hinted that a...more

Recommended Proxy Disclosure for Director Elections and Other Proposals

Tips and forms you can use for drafting your proxy statement to increase clarity and avoid pitfalls. In February 2016, the SEC warned that among a broad selection of companies, poorly-drafted, ambiguous and sometimes...more

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