The SFDR and the Taxonomy Regulation: Key Developments and What Firms Can Expect in the Coming Year -
Almost a year on from the date on which the European Union’s Sustainable Finance Disclosure Regulation (SFDR) came into...more
1/27/2022
/ Climate Change ,
Corporate Governance ,
Disclosure Requirements ,
Discussion Draft ,
Environmental Social & Governance (ESG) ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Reporting ,
Product Labels ,
SFDR ,
Sustainability ,
Sustainable Business Practices ,
Sustainable Finance ,
Task Force on Climate-related Financial Disclosures (TCFD) ,
UK
Welcome to the 2020 edition of In Principle. With the United Kingdom (UK) leaving the European Union (EU) on31 January 2020, and moving into a transition period which will last until 31 December 2020, Brexit of courselooms...more
1/30/2020
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Asset Management ,
Certifications ,
Climate Change ,
Cybersecurity ,
Data Protection ,
Data Security ,
Disclosure Requirements ,
EMIR ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
EU ,
EU Benchmark Regulation ,
EU Market Abuse Regulation (EU MAR) ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
Investment Firms ,
Investment Funds ,
Investment Management ,
Investors ,
Libor ,
Market Abuse ,
National Competent Authorities (NCA) ,
Personal Liability ,
Proposed Amendments ,
Reporting Requirements ,
Senior Managers ,
SFTR ,
Shareholder Rights ,
Sustainability ,
UK ,
UK Brexit
In the 2018 edition of this publication, we ended the introduction with the line, “We can only hope that we will enter 2019 with greater certainty than 2018 as to how the regulatory landscape will look.” Unfortunately,...more
1/31/2019
/ Amended Regulation ,
Asset Management ,
Banking Sector ,
Benchmarks ,
Broker-Dealer ,
Compensation Agreements ,
Cybersecurity ,
Data Protection ,
Data Security ,
EMIR ,
Enforcement ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Services Industry ,
General Data Protection Regulation (GDPR) ,
Infrastructure ,
Libor ,
Market Abuse ,
Market Infrastructure ,
Securities Financing Transactions (SFTs) ,
SMCR ,
Sustainability ,
UK Brexit
There is much for authorised firms to consider in the year ahead. Firms have been through the intensive period of the enactment of the second Markets in Financial Instruments Directive (MiFID II), but must now step up their...more
1/25/2018
/ Anti-Money Laundering ,
Appeals ,
Asset Management ,
Attorney-Client Privilege ,
Banks ,
Code of Conduct ,
Compensation ,
Competition ,
Conflicts of Interest ,
Data Breach ,
Data Protection ,
Data Subjects Rights ,
Disclosure Requirements ,
EMIR ,
Encryption ,
Enforcement Actions ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Reform ,
General Data Protection Regulation (GDPR) ,
Internal Investigations ,
Investment Funds ,
Investors ,
Law Firm Ownership ,
Law Firm Partners ,
Market Abuse ,
MiFID II ,
Mobile Apps ,
New Legislation ,
Notification Requirements ,
Penalties ,
Performance Reviews ,
Personal Data ,
Popular ,
Reporting Requirements ,
Royal Bank of Scotland ,
Securities and Exchange Commission (SEC) ,
Securities Financing Transactions (SFTs) ,
SFO ,
SFTR ,
Short Selling ,
Skilled Laborers ,
SMCR ,
Technology Sector ,
Transparency ,
Trustees ,
UCITS ,
UK ,
UK Brexit ,
UK Competition and Markets Authority (CMA) ,
Wall Street