In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates.
...more
4/25/2019
/ BEIS ,
Corporate Governance ,
Enforcement Actions ,
EU ,
EU Benchmark Regulation ,
European Securities and Markets Authority (ESMA) ,
Italy ,
Nasdaq ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
UK
In this newsletter, we provide a snapshot of the principal Asian, U.S., European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
...more
2/14/2019
/ Accounting Controls ,
Annual Reports ,
Audits ,
Capital Markets Union ,
Climate Change ,
Cooperation ,
Corporate Governance ,
Enforcement Actions ,
EU ,
European Commission ,
Foreign Corrupt Practices Act (FCPA) ,
GAAP ,
Hong Kong ,
Private Placements ,
Proxy Season ,
UK ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
9/28/2018
/ Consumer Protection Laws ,
Corporate Culture ,
Derivatives ,
Enforcement Actions ,
Financial Services Industry ,
FinTech ,
MiFID II ,
Payment Systems ,
Prudential Standards ,
Securities ,
UK
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates.
...more
7/20/2018
/ American Pipe & Construction Co. v. Utah ,
Board of Directors ,
Corporate Governance ,
Diversity ,
Enforcement Actions ,
EU ,
Iran Sanctions ,
MLD5 ,
Non-GAAP Financial Measures ,
Prospectus ,
Securities Litigation ,
Shareholder Rights ,
UK ,
Virtual Currency
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
7/20/2018
/ Bank Resolution Scheme ,
Banking Sector ,
Corporate Governance ,
Derivatives ,
Enforcement Actions ,
Financial Services Industry ,
Investment Funds ,
MiFID II ,
Prudential Standards ,
Securities ,
UK Brexit
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
6/20/2018
/ AML/CFT ,
Derivatives ,
Enforcement Actions ,
EU ,
FinTech ,
Insider Trading ,
Investment Funds ,
MiFID II ,
Payment Systems ,
Prudential Regulation Authority (PRA) ,
Recovery Plans ,
UK
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
3/8/2018
/ AML/CFT ,
Corporate Culture ,
Criminal Convictions ,
Cybersecurity ,
Derivatives ,
Enforcement Actions ,
Financial Services Industry ,
Prudential Regulation Authority (PRA) ,
Senior Management Regime (SMR) ,
UK Brexit ,
UK Competition and Markets Authority (CMA)
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more
2/7/2018
/ Central Counterparties ,
Enforcement Actions ,
EU ,
GAO ,
Interest Rate Swaps ,
Liquidity ,
Money Market Funds ,
Price Manipulation ,
Risk Management ,
Stress Tests ,
UK
In this newsletter, we provide a snapshot of the principal European, U.S. and selected international governance and securities law developments of interest to European corporates.
...more
1/26/2018
/ Asia ,
Corporate Governance ,
Enforcement Actions ,
EU ,
Examination Priorities ,
Financial Markets ,
Italy ,
Securities Litigation ,
Strategic Enforcement Plan ,
Tax Cuts and Jobs Act ,
UK
In this 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 managers and...more
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
4/22/2016
/ Competition ,
Consultation Periods ,
Consumer Financial Protection Bureau (CFPB) ,
Derivatives ,
Enforcement Actions ,
Enforcement Authority ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
GAO ,
Global Systemically Important Financial Institutions (GSIFI) ,
High Frequency Trading ,
Richard Cordray ,
Securities and Exchange Commission (SEC) ,
Securitization ,
Standing ,
Stress Tests ,
Swaps ,
U.S. Treasury ,
UK
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
3/3/2016
/ Bank Secrecy Act ,
Banking Examinations ,
Cooperation ,
Enforcement Actions ,
EU ,
Money Transfer ,
MREL ,
Payment Systems ,
Stress Tests ,
UK ,
Volcker Rule
In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates.
...more
1/29/2016
/ AIM ,
Corporate Governance ,
Enforcement Actions ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Reporting ,
MiFID II ,
Proxy Voting Guidelines ,
Succession Planning ,
Takeover Code ,
Transparency Directive ,
UK
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
10/30/2015
/ Abu Dhabi Global Markets (ADGM) ,
Anti-Money Laundering ,
Anti-Terrorism Financing ,
Banking Sector ,
Capital Requirements ,
Consultation ,
Deposit Insurance ,
Enforcement Actions ,
EU ,
European Commission ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC)
In this newsletter, we provide a snapshot of the principal US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
...more
10/19/2015
/ AIM ,
Capital Markets ,
Corporate Governance ,
Department of Justice (DOJ) ,
Digital Single Market ,
Enforcement Actions ,
EU ,
Executive Compensation ,
Financial Conduct Authority (FCA) ,
Israel ,
Limited Partnerships ,
London Stock Exchange ,
Market Manipulation ,
MiFID II ,
Nasdaq ,
NYSE ,
Private Equity ,
Regulation Technical Standards (RTS) ,
Securities and Exchange Commission (SEC) ,
Shareholder Rights ,
Transparency ,
UK
In this newsletter, we provide a snapshot of the principal European, US and selected international governance and securities law developments of interest to European corporates.
...more
10/13/2015
/ Alternative Investment Funds ,
Corporate Governance ,
Enforcement Actions ,
EU ,
EU Directive ,
European Securities and Markets Authority (ESMA) ,
Executive Compensation ,
Financial Reporting ,
Germany ,
London Stock Exchange ,
NYSE ,
OECD ,
Proxy Season ,
Proxy Voting Guidelines ,
Securities ,
Securities and Exchange Commission (SEC) ,
Shareholder Rights ,
Transparency ,
UK
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
8/19/2015
/ Administrative Appointments ,
Banking Sector ,
CFTC ,
Competition Authorities ,
Consumer Financial Protection Bureau (CFPB) ,
Derivatives ,
Enforcement Actions ,
European Banking Authority (EBA) ,
Federal Reserve ,
OCC ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
UK
In this issue:
- HKEx Publishes Consultation Conclusions on Weighted Voting Rights
- Corporate Governance Reforms in Japan
- SEC and NYSE/Nasdaq Developments
- Sanctions Round-Up
- Noteworthy US...more
7/20/2015
/ Asia ,
China ,
Conflict Mineral Rules ,
Corporate Governance ,
Department of Justice (DOJ) ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Executive Compensation ,
Financial Reporting ,
Proxy Advisors ,
Sanctions ,
Securities and Exchange Commission (SEC) ,
UK ,
Voting Rights
In this issue:
- Financial Reporting: Commission Delegated Regulations on Equivalence of Certain Third Country National GAAPs to IFRS
- Proxy Advisers: ESMA Consultation on Best Practise Principles for Voting...more
7/15/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Alternative Investment Funds ,
Annual Reports ,
Conflict Mineral Rules ,
Corporate Governance ,
Department of Justice (DOJ) ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Executive Compensation ,
Financial Markets ,
Financial Reporting ,
Japan ,
Money Laundering ,
New Guidance ,
Proxy Advisors ,
Regulatory Standards ,
Related Parties ,
Securities ,
Securities and Exchange Commission (SEC) ,
Small Business
In this issue:
- SEC Developments
- Noteworthy US Securities Law Litigation
- Recent SEC/DOJ Enforcement Matters
- Executive Compensation & Employee Benefits Developments
- Adoption of...more