News & Analysis as of

Insider Trading European Union

Italy's Inside Information Disclosure Requirements Addressed in CONSOB Guidelines

by Jones Day on

The Situation: In July 2016, the Market Abuse Regulation ("MAR") came into effect, introducing detailed requirements for EU listed issuers regarding disclosure of inside information, with a view to fighting market...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

In the U.K. three F.H. Bertling executives were sentenced on corruption charges. An HSBC senior executive based in London was convicted by a New York jury for front running a client in the currency markets....more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Deutsche Borse CEO Carsten Kengeter announced yesterday that he’ll step down in the wake of insider-trading allegations related to the exchange’s now-defunct merger with the London Stock Exchange Group....more

Investment Management Special Report - 2017-18 Compliance Developments & Calendar for Private Fund Advisers

Introduction - Despite an anticipated de-regulatory push, there are significant new regulatory concerns for investment advisers to address in connection with their annual review of their compliance manuals....more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The Commission filed one settled administrative proceeding this week involving an investment adviser. The Order charged cherry picking, making misrepresentations to clients regarding certain fees and a failure to trade a fund...more

Business Litigation Report - April 2017

Renegotiation of, or Withdrawal from, NAFTA: Context and Possible Consequences - (“NAFTA”) is a trade agreement signed by Canada, Mexico, and the United States that came into force on January 1, 1994. Its goal was to...more

Regulatory Litigation Update - May 2017

Insider Trading in the E.U. and U.S. Markets—An Ocean Apart? With increasing momentum towards global regulatory convergence—driven predominantly by G20 commitments—it is noteworthy that some important (and practically...more

Governance & Securities Law Focus: Europe Edition - April 2017

by Shearman & Sterling LLP on

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. Please see full Newsletter below for more...more

WORD OF THE DAY® – Big Boy Letter

by Latham & Watkins LLP on

Partner Roland Maass explains the term Big Boy Letter from the Book of Jargon® – European Capital Markets and Bank Finance. The Book of Jargon® – European Capital Markets and Bank Finance is one of a series of practice...more

The Call for a Statutory Insider Trading Law

Judge Jed S. Rakoff (S.D.N.Y.) recently made headlines after urging lawyers to draft and advocate for a more straightforward insider trading statute to replace judicially-created insider trading law. During his keynote speech...more

2016 half-year in review: M&A legal developments

by White & Case LLP on

We set out below a number of interesting English court decisions and market developments which have taken place and their impact on M&A transactions. This review looks at these developments and gives practical guidance on...more

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

by Proskauer Rose LLP on

This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

Governance & Securities Law Focus: Europe Edition, October 2016

by Shearman & Sterling LLP on

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. Please see full Newsletter below for more...more

UK Market Abuse Regime Extends Its Reach: Implications for Market Participants

by Morgan Lewis on

The new regime shares the same aims as its predecessor—to ensure the integrity of EU financial markets and enhance investor confidence—and keeps pace with market developments such as new trading platforms, new technology, and...more

Your daily dose of financial news - The Brief – 6.22.16

by Robins Kaplan LLP on

Elon Musk is curing what ails SolarCity by having his Tesla motors company buy it—a move he’s called “obvious” [though others disagree] but which will leave him personally exposed to margin calls if the stock price for the...more

Your daily dose of financial news - The Brief – 6.20.16

by Robins Kaplan LLP on

Here’s a sign of the times, or at least, the changing tenor of banking in America. After years of exclusivity that saw it refusing customers with less than $10 million on hand, Goldman Sachs is opening itself up to common...more

UK Financial Regulatory Developments - June 2016 #9

by Dentons on

OCC upholds complaint about misinformation for third party insurer complaints - OCC has published a decision partially upholding a complaint relating to FCA’s rules for third party insurers. The complaint highlighted...more

Market Abuse Regulation

by Ropes & Gray LLP on

The Market Abuse Regulation (“MAR”) will take effect on 3 July 2016. MAR contains the rules on insider dealing, unlawful disclosure of inside information and market manipulation that will apply throughout the European...more

Asset managers’ guide to the EU Market Abuse Regulation: will you be compliant on 3 July 2016?

by King & Spalding on

The EU Market Abuse Regulation (596/2014) (“MAR”) applies from 3 July 2016. This guide is intended as an aid to asset managers in assessing, in the weeks running up to 3 July but also on an ongoing basis, whether amendments...more

The Financial Report - Volume 5, No. 11 • June 2016 (Global)

by DLA Piper on

Discussion and Analysis - A few years ago, David Blass, then Chief Counsel of the SEC’s Division of Trading and Markets, created a stir when he said in a speech that private fund advisers should be concerned about some...more

The Inside Scoop: What does Tabernula tell us about the future of criminal insider dealing enforcement in the UK?

by WilmerHale on

The high-profile insider trading prosecution dubbed “Operation Tabernula”, brought by the Financial Conduct Authority (“FCA”), has this month secured two further convictions. After a 12-week trial, Martyn Dodgson and Andrew...more

UK Financial Regulatory Developments - May 2016 #12

by Dentons on

FCA publishes draft margin exemption form - FCA has published a draft application form relating to the exemption from the requirement to exchange margin for intragroup transactions under the European Market...more

UK Financial Regulatory Developments - May 2016 #8

by Dentons on

FCA announces insider dealing convictions - FCA has announced two convictions in the case it brought as part of Operation Tabernula. Martyn Dodgson, an investment banker, and Andrew Hind, a property developer and...more

ESMA Consults on Guidelines on Disclosure of Information on Commodity Derivatives Markets or Related Spot Markets under MAR

On March 30, the European Securities and Markets Authority (“ESMA”) opened a public consultation on draft guidelines under the Market Abuse Regulation (“MAR”). ESMA is consulting on its proposed non-exhaustive indicative list...more

Financial Regulatory Developments Focus - March 2016 #3

by Shearman & Sterling LLP on

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

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