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
The Sanctions and Anti-Money Laundering Act received Royal Assent on 23 May 2018.
Although the sanctions-related provisions of the Act are not yet in force, they will give the government wider powers to implement sanctions...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
6/4/2018
/ AML/CFT ,
Banking Sector ,
Corporate Governance ,
Dodd-Frank ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Services Industry ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Securities ,
UK
The U.S. exit from the Iran Deal and the return of U.S. sanctions on Iran will impact companies located around the world, particularly if they conduct some part of their business in the U.S. Partner Philip Urofsky...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
President Trump announced today the United States’ withdrawal from the Joint Comprehensive Plan of Action and initiated plans to re-impose nuclear-related sanctions that had been suspended under the terms of the 2015 nuclear...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
4/26/2018
/ AML/CFT ,
Bank Resolution Scheme ,
Banking Sector ,
Corporate Culture ,
Corporate Governance ,
Corporate Misconduct ,
EU ,
Financial Services Industry ,
Prudential Standards ,
Securities ,
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
4/20/2018
/ Banking Sector ,
Competition ,
Cybersecurity ,
Derivatives ,
EU ,
Financial Markets ,
Financial Services Industry ,
MiFID II ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
UK
This quarter saw the announcement of sweeping new sanctions against Russia’s billionaire class and their corporate holdings, and included the Trump Administration’s first issuance of sanctions against Russia for meddling in...more
4/16/2018
/ CAATSA ,
Counter-Terrorist ,
Criminal Prosecution ,
Drug Trafficking ,
Economic Sanctions ,
General Licenses ,
Iran Sanctions ,
Narcotics ,
North Korea ,
Office of Foreign Assets Control (OFAC) ,
Russia ,
Sanction Violations ,
SDN List ,
SSI List ,
Terrorism Funding ,
Trump Administration ,
Ukraine ,
Venezuela
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
4/12/2018
/ Annual Reports ,
Appraisal ,
Banks ,
Commercial Real Estate Market ,
Community Reinvestment Act ,
Consumer Financial Protection Bureau (CFPB) ,
Cryptocurrency ,
Customer Due Diligence (CDD) ,
Disclosure Requirements ,
EU Prospectus Regime ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Regulatory Agencies ,
FinCEN ,
FRBNY ,
Fund Managers ,
Global Economy ,
Investor Protection ,
MiFID II ,
Regulatory Standards ,
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
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
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
2/15/2018
/ Benchmarks ,
Cease and Desist Orders ,
Dodd-Frank ,
Entrepreneurs ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Stress Tests ,
UK ,
UK Brexit ,
Venture Capital ,
Wells Fargo
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 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