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
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
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 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 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 newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
...more
10/24/2017
/ EU ,
European Securities and Markets Authority (ESMA) ,
Financial Reporting ,
Hyperlink ,
Initial Public Offering (IPO) ,
Listing Standards ,
Person with Significant Control (PSC Register) ,
Securities Litigation ,
Takeover Code ,
UK ,
UK Brexit
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
On 30 June 2017, a new EU prospectus regulation (the “New Prospectus Regulation”) was published in the Official Journal of the European Union. The New Prospectus Regulation will, through a phased implementation, repeal and...more
In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
...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
7/19/2017
/ Anti-Money Laundering ,
CONSOB ,
Corporate Governance ,
EMIR ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Hong Kong ,
JOBS Act ,
Listing Standards ,
Non-GAAP Financial Measures ,
Prospectus ,
Reporting Requirements ,
Securities Litigation ,
Third Country Entities (TCEs) ,
UK
In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
...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
4/24/2017
/ Cadbury ,
EU ,
European Securities and Markets Authority (ESMA) ,
Foreign Corrupt Practices Act (FCPA) ,
IFRS ,
Insider Trading ,
Non-GAAP Financial Measures ,
Prospectus ,
Securities Settlement Cycles ,
Shareholder Rights ,
Unique Transaction Identifiers ,
XBRL Filing Requirements
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 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 newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
...more
2/8/2017
/ Asia ,
C&DIs ,
Corporate Governance ,
Diversity ,
Foreign Corrupt Practices Act (FCPA) ,
Foreign Private Issuers ,
Non-GAAP Financial Measures ,
Resource Extraction ,
SZ-HK Connect ,
Tender Offers ,
Third Country Entities (TCEs) ,
UK ,
US v Salman ,
Volkswagen
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
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
1/26/2017
/ Anti-Money Laundering ,
Capital Requirements ,
Credit Rating Agencies ,
Cybersecurity ,
FinTech ,
Global Systemically Important Banks (G-SIBs) ,
IFRS ,
Liquidity Coverage Ratio ,
No-Action Relief ,
Passporting ,
TLAC
It is now time for a large number of foreign private issuers to prepare their annual reports on Form 20-F. For companies with a calendar year-end, the Form 20-F must be filed with the U.S. Securities and Exchange Commission...more
1/10/2017
/ Annual Reports ,
Conflict Mineral Rules ,
Cuba ,
Filing Requirements ,
Foreign Private Issuers ,
Iran Sanctions ,
Joint Comprehensive Plan of Action (JCPOA) ,
Non-GAAP Financial Measures ,
Presidential Elections ,
Resource Extraction ,
Risk Assessment ,
Securities and Exchange Commission (SEC) ,
UK Brexit
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
12/21/2016
/ Banking Sector ,
Central Counterparties ,
Credit Rating Agencies ,
Dodd-Frank ,
EU ,
FinTech ,
Foreign Banks ,
Global Systemically Important Banks (G-SIBs) ,
Liquidity ,
Payment Services Directive ,
Regulatory Agenda ,
Stress Tests ,
Systemic Risk Buffer ,
UK ,
Volcker Rule
The European Commission recently announced an extensive package of banking reform proposals. Of particular interest to bank creditors, proposed amendments to the Bank Recovery and Resolution Directive aim to amend the...more
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
11/21/2016
/ Anti-Money Laundering ,
Bank of England ,
Banking Sector ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Credit Ratings ,
Cybersecurity ,
Department of Financial Services ,
EU ,
European Banking Authority (EBA) ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Federal Bank Regulatory Agencies ,
Federal Reserve ,
Financial Action Task Force ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Markets ,
FinCEN ,
FinTech ,
FSMA ,
HM Treasury ,
Mary Jo White ,
MiFID II ,
OCC ,
Prudential Regulation Authority (PRA) ,
Retail Banks ,
Ring-Fencing ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
Technical Standards ,
UK ,
Universal Proxy Cards
In this newsletter, we provide a snapshot of the principal Asian, US, European and selected international governance and securities law developments of interest to Asian corporates and financial institutions.
...more
10/27/2016
/ Asia ,
Corporate Governance ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Germany ,
Hong Kong Stock Exchange ,
Initial Public Offering (IPO) ,
Italy ,
Person with Significant Control (PSC Register) ,
Prospectus ,
Shenzhen Stock Exchange (SZSE) ,
Stock Connect ,
Takeover Bids
In May of this year, the staff of the SEC’s Division of Corporation Finance updated its C&DIs regarding the use of non-GAAP financial measures. We summarized the May 2016 update in an earlier client publication. Since the...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
10/18/2016
/ Corporate Counsel ,
Corporate Governance ,
EU ,
Germany ,
Hong Kong ,
Hong Kong Stock Exchange ,
Initial Public Offering (IPO) ,
Insider Trading ,
Italy ,
Market Abuse ,
Person with Significant Control (PSC Register) ,
Prospectus ,
Proxy Advisors ,
Stock Connect ,
Takeover Bids ,
UK
Bank Prudential Regulation & Regulatory Capital -
US Board of Governors of the Federal Reserve System Releases Proposed Rule to Modify Capital Plan and Stress Testing Rules -
On September 26, 2016, the US Board of...more
10/17/2016
/ Block Trades ,
BSA/AML ,
Commodities ,
Cross-Border Transactions ,
EU ,
FinTech ,
Foreign Investment ,
MiFID II ,
Securitization ,
SEFs ,
Shadow Banking ,
Stress Tests ,
UK ,
Underwriting ,
Whistleblower Protection Policies