News & Analysis as of

Legal Entity Identifiers

Corporate & Financial Weekly Digest, Featuring Topics on SEC/Corporate, CFTC, Derivatives, Brexit and EU Developments

SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DIs on Proxy Rules and Proxy Statements, Overhauling Telephone Interpretations Manual - On May 11, the staff of the Division of Corporation Finance of the...more

MiFID II progress summary report: Why there’s still work to do

Two high-profile regulatory events have taken a closer look at MiFID II progress and highlighted the work still to be done in areas such as data management and LEI compliance....more

FinCEN Issues FAQs for Customer Due Diligence Rule; Compliance Required in May

by Dechert LLP on

The U.S. Treasury’s Financial Crimes Enforcement Network (FinCEN) on April 3, 2018 issued Frequently Asked Questions Regarding Customer Due Diligence Requirements for Financial Institutions (FAQs). The FAQs address various...more

Asset Management Regulatory Roundup - March 2018 - Issue 5

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry.This issue includes details of proposed changes to the Financial Services Register to accommodate the Senior Managers...more

Registered Firms: Annual Compliance Obligations—What You Need To Know

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular...more

Financial Regulatory Observer - February 2018: EU banking supervision: What to expect in 2018

by White & Case LLP on

2018 will be a year of change, challenges and opportunities for banks and financial services providers.   Stay current on your favorite topics The UK's impending exit from the EU may well result in another adjustment of the...more

MiFID II begins as the finance industry takes a breath

So the ‘sleeps til MiFID II’ clock finally ticked down to zero and the industry flicked the switch on Jan 3rd. As City A.M. nicely phrased it, the “Day of the MiFIDs” was upon us....more

CFPB Announces Annual Adjustments to HMDA Asset-Size Exemption Thresholds and Launch of New HMDA Online Tools

by Weiner Brodsky Kider PC on

The CFPB has recently issued several announcements impacting financial institutions that submit data under the Home Mortgage Disclosure Act (HMDA). First, the CFPB has increased the asset-size exemption threshold under HMDA...more

European Securities and Markets Authority Issues Statement on Introduction of the Legal Entity Identifier Requirements Under the...

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published a statement in response to indications that not all investment firms will succeed in obtaining Legal Entity Identifier codes from all their clients that are legal...more

Asset Management Regulatory Roundup - January 2018 - Issue 1

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details of the matters to be considered by users of financial benchmarks when selecting an...more

LEI delay helps firms but the pressure is still on

On December 20, 2017, the European Securities and Markets Authority (ESMA) announced a six month Legal Entity Identifiers (LEI) grace period, but firms must be in the process of obtaining client LEIs. You need the insight...more

AIM Companies and the Legal Entity Identifier Requirement, European Capital Markets Update

by Jones Day on

The London Stock Exchange published AIM Notice 47 ("Notice") on 13 October 2017 in respect of the requirement that all AIM companies with securities admitted to trading on AIM obtain a Legal Entity Identifier ("LEI") code. It...more

Regulation Round Up - November 2017

by Proskauer Rose LLP on

3 November - The Financial Conduct Authority (FCA) published an alert setting out key considerations for principals who have appointed representatives or introducer appointed representatives. Among other things, the alert...more

Asset Management Regulatory Roundup - November 2017 - Issue 11

by Dechert LLP on

A compact summary of the most recent regulatory and tax developments relevant to the UK asset management industry. This issue includes details on ESMA’s updated Q&As on the key information document requirements for PRIIPs;...more

Corporate News - November 2017

by Hogan Lovells on

A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law. ...more

Regulation Round Up - October 2017

by Proskauer Rose LLP on

3 October - The Prudential Regulator Authority (PRA) published a policy statement on strengthening accountability in banking and changes to senior managers regime (SMR) forms. The changes to the SMR forms will become live on...more

SEC Proposes Amendments to Modernize and Simplify Regulation S-K

by Foley & Lardner LLP on

On October 11, 2017, the U.S. Securities and Exchange Commission (SEC) voted to propose amendments to modernize and simplify disclosure requirements in Regulation S-K and related rules and forms to reduce the costs and...more

Legal Entity Identifiers under MiFID II

From 3 January 2018 all legal entities (no matter where they are based or incorporated) involved in buying, selling or issuing financial instruments on EU regulated markets, multilateral trading facilities or organised...more

Asset Management Regulatory Roundup - October 2017 - Issue 8

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details on US-EU equivalence of certain OTC derivative rules; the FCA asset management...more

Regulation Round Up - September 2017

by Proskauer Rose LLP on

1 September - The Prudential Regulation Authority (PRA) updated its April 2017 public disclosure with Template A (Disclosure of Aggregate Statistical Data with regard to Insurance and Reinsurance Undertakings) and Template...more

Legal Entity Identifiers: A call to action for listed companies and issuers by the Luxembourg Stock Exchange

by Dechert LLP on

The Luxembourg Stock Exchange (the LSE) has called upon Luxembourg and foreign issuers (collectively Issuers) of financial instruments listed in Luxembourg, whether on the LSE’s regulated market (Bourse de Luxembourg) or...more

New FERC NOPR Will Have Impacts on the Financial Trading Community

by Pierce Atwood LLP on

On Thursday, July 21, 2016, FERC issued a new Notice of Proposed Rulemaking on Data Collection and Surveillance, which is to replace the prior Connected Entities and MBR Ownership NOPRs. The new NOPR will apply to: (1)...more

FinCEN Issues Final Rule on Customer Due Diligence Requirements for Legal Entity Customers

by King & Spalding on

On May 11, the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) published its Final Rule (Rule) requiring covered financial institutions, including, banks, brokerdealers, mutual funds, and money...more

CFPB to participate in Financial Data Summit

by Ballard Spahr LLP on

The CFPB is among the federal agencies participating in a Financial Data Summit hosted by the Data Coalition to be held on March 29, 2016 in Washington, D.C. Linda Powell, the CFPB’s Chief Data Officer, will be on a panel...more

Blasphemous Corporate Names

by Allen Matkins on

Yesterday’s post considered the question of whether the California Secretary of State could refuse to accept offensive corporate names. Blasphemous corporate names constitute a subset of offensive names because they are...more

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