News & Analysis as of

MLD4

ESMA Highlights EU Regulatory Rules Applicable to ICOs

by Latham & Watkins LLP on

ESMA has published two statements highlighting ICO risks for investors and EU regulatory rules applicable to issuers and advisors involved with ICOs. The European Securities and Markets Authority (ESMA) published two...more

Anti-money laundering bulletin - Autumn 2017

by DLA Piper on

DLA Piper’s Financial Services Regulatory team welcomes you to the Autumn 2017 edition of our Anti-Money Laundering (AML) Bulletin. In this issue, we provide updates on AML developments in the UK and internationally,...more

Fourth Money Laundering Directive (MLD4) and the new Regulations

by Locke Lord LLP on

The MLD4 came into force on 26 June 2017. This was the date by which all member states were required to bring into force the laws, regulations and administrative provisions necessary to facilitate their compliance with...more

The Extended UK PSC Regime

by Shearman & Sterling LLP on

The UK’s beneficial ownership disclosure rules for persons with significant control (PSCs) over certain UK entities, introduced in April 2016, have been extended as part of the UK’s implementation of the EU’s Fourth Anti...more

UK beneficial ownership registers – how recent developments affect finance transactions

by Dentons on

This year the UK government has introduced, updated and consulted on various measures to make the identity of those investing in the UK more transparent. Some, but not all, of these have been introduced to comply with the EU...more

How to spot PEPs and what to do with them – the FCA's Finalised Guidance 17/5

by Dentons on

The guidance issued by the FCA in FG 17/5 (the Guidance) is likely to make a significant difference to the way in which firms identify and manage their relationships with politically exposed persons (PEPs). The FCA has used...more

European White Collar Crime Report: Views on the key developments across Europe

by Allen & Overy LLP on

Europe at a glance - Across Europe, law makers are steadily expanding the circumstances in which companies can be found liable (whether criminally or otherwise) for the criminal conduct of their employees and other...more

Corporate News - July 2017

by Hogan Lovells on

FCA bans firms' use of restrictive contractual clauses for future primary market services - On 27 June 2017, the Financial Conduct Authority (FCA) published its Policy Statement PS17/13 'Investment and corporate banking:...more

Corporate News - May 2017

by Hogan Lovells on

Corporate governance – 4MLD and changes to the PSC regime - Companies House recently published its business plan for 2017-18, its strategic plan for 2017-2020 and a press release with details of additional anti-money...more

The PSC Regime: One Year On

by Reed Smith on

The people with significant control (PSC) regime was introduced on 6 April 2016. This means that, for the last year, most UK companies and limited liability partnerships (LLPs) have been required to keep and maintain a PSC...more

Hogan Lovells Global Payments Newsletter - March 2017

by Hogan Lovells on

Welcome to the Hogan Lovells Global Payments Newsletter. In this monthly publication we provide an overview of the most recent payments, regulatory and market developments from major jurisdictions around the world as well as...more

Anti-money laundering bulletin - Spring 2017

by DLA Piper on

DLA Piper’s Financial Services Regulatory team welcomes you to the Spring 2017 edition of our Anti-Money Laundering (AML) Bulletin. In this issue, we provide updates on AML developments and enforcement actions in the UK and...more

Orrick's Financial Industry Week In Review

FHFA Announces Increase in Maximum Conforming Loan Limits for Fannie Mae and Freddie Mac in 2017 - On November 23, 2016, the Federal Housing Finance Agency (FHFA) announced an increase in the maximum conforming loan...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - CTFC Approves Proposed Rules Addressing Application of Certain CEA Regulations to Cross-Border Transactions - On October 11, 2016, the U.S. Commodity Futures Trading Commission...more

Anti-money laundering bulletin - Summer 2016

by DLA Piper on

In this issue, we provide updates on anti-money laundering news and enforcement action, both in the UK and internationally, including - - FCA publishes consultant’s findings from research into bank de-risking -...more

UK Financial Regulatory Developments - June 2016 #3

by Dentons on

Treasury publishes AML supervision report - Treasury has published its anti-money laundering (AML) and counter terrorist finance (CTF) supervision report for 2014-2015. The report stresses the importance of preparing...more

UK Financial Regulatory Developments - June 2016 #2

by Dentons on

FCA appoints Megan Butler as Supervision Director - FCA announced that Megan Butler has been appointed as its permanent Director of Supervision – Investment, Wholesale and Specialists. Ms Butler has previously been in...more

UK Financial Regulatory Developments - April 2016 #15

by Dentons on

ESAs finalise proposal for RTS on KIDs for PRIIPs - The Joint Committee of the ESAs has finalised its proposal for regulatory technical standards (RTS) on key information documents (KIDs) for packaged retail and...more

UK Financial Regulatory Developments - March 2016 #7

by Dentons on

PRA consults on risk-based levies for the FSCS deposits class - PRA is consulting on proposed changes to the Protection Part in the Rulebook, and on a new statement of policy in relation to the calculation of firm...more

UK Financial Regulatory Developments - February 2016 #5

by Dentons on

ECA reports on ESMA supervision of CRAs - The European Court of Auditors (ECA) has issued a report on ESMA’s role as the single supervisor of credit rating agencies (CRAs) in the EU. It finds that overall ESMA has laid...more

UK Financial Regulatory Developments - February 2016 #2

by Dentons on

FCA writes to CEOs on CFD compliance - FCA has written a Dear CEO letter following its review of new client procedures for firms offering contracts for difference (CFD) products on a non-advised basis. FCA carried out...more

FCA speaks on AML

by Dentons on

Rob Gruppetta spoke on the future of AML regulations. He spoke on: - the requirements of the fourth money laundering Directive (MLD4) and what it will mean for firms. He highlighted some controversial issues which...more

Council of the EU Endorses Agreement with the European Parliament Regarding the MLD4

On February 10, the Council of the European Union published a press release stating that agreement had been reached with the European Parliament regarding the Fourth Money Laundering Directive (MLD4) and the proposed revised...more

Council of the EU Presidency Compromise Proposal on MLD4

On March 3, the Council of the EU published a compromise proposal (dated January 28, 2014) on the European Commission’s proposed Directive on the prevention of the use of the financial system for the purpose of money...more

UK House of Commons Scrutinizes MLD4 and Revised Wire Transfer Regulation Proposals

On January 2, the United Kingdom House of Commons Scrutiny Committee published its 28th Session 2013-2014 report. In particular, the report considers the European Commission’s proposed MLD4 Directive on money laundering and...more

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