Exchange – International Newsletter: Issue 24 – October 2014
WELCOME - DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-fourth edition of ‘Exchange – International’ – an international newsletter designed to keep you...
View ArticleFinancial Services Regulatory Update: FX Investigations: Lessons Learnt From...
As the Australian Securities and Investments Commission (ASIC) and the Australian Competition and Consumer Commission (ACCC) continue their respective investigations of the conduct of financial...
View ArticleFinancial Services Regulation: Exchange International Newsletter - Issue 25 -...
DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-fifth edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of...
View ArticleFinancial Services Regulation: Exchange – International Newsletter - Issue 26...
DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-sixth edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of...
View ArticleRegulatory Risk Update: The Fair And Effective Markets Review -...
In the wake of a number of recent high profile LIBOR and Forex market abuses, the Chancellor of the Exchequer and the Governor of the Bank of England established the Fair and Effective Markets Review...
View ArticleFCA and PRA Set Out New Rules on Whistleblowing.
The FCA has published new rules designed to encourage a culture in which individuals raise concerns and challenge poor practice and behaviour. The new regime represent a significant expansion on the...
View ArticleUK Government Plans to Extend New Senior Managers and Certificate Regimes to...
The initial reception to the new senior managers and certification regime (SM & CR) for banks building societies and PRA-designated investment firms was that the government had gone too far. There...
View ArticleExchange International: Financial Services Regulation Newsletter - Issue 27
DLA Piper’s Financial Services International Regulatory Team welcomes you to the twenty-seventh edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of...
View ArticleProposed Guidance for Firms Outsourcing to the "Cloud" and Other Third-Party...
The FCA Guidance Consultation 15/6 consults on proposed guidance to clarify various requirements imposed on firms, when outsourcing to the 'cloud.' The proposed guidance is the FCA's response to...
View ArticleFCA consults on UK implementation of the Market Abuse Regulation
On 5 November 2015, the Financial Conduct Authority (FCA) published a consultation paper CP15/35: Policy proposals and Handbook changes related to the implementation of the Market Abuse Regulation...
View ArticleSerious Fraud Office - first conclusion of a case under Section 7 of the...
In 2012 the Government of Tanzania began the process of raising USD $600 million by way of a sovereign note private placement. The Tanzanian subsidiary of Standard Bank Group Ltd (SBG), Stanbic Bank...
View ArticleFinance Update: MiFID II: Best Execution Requirements
MiFID I introduced a comprehensive best execution regime on the basis that delivering best execution is considered fundamental to market integrity. However, there was a perceived need for reform to...
View ArticleFinancial Services Regulation - Exchange International Newsletter - Issue 28...
DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-eighth edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of...
View ArticleDavid Cameron announces acceleration of new corporate offence of failing to...
The UK Government has announced the proposed introduction of a new corporate offence of failing to prevent the facilitation of tax evasion. The new offence is likely to build on draft legislation...
View ArticleMarket Abuse Regime: Overview for Offical List Companies
- INTRODUCTION The Market Abuse Regulation ("MAR") will replace the existing market abuse regime from 3 July 2016. MAR is designed to introduce a common regulatory framework on market abuse across the...
View ArticleMarket Abuse Regime: Overview for AIM companies
INTRODUCTION The Market Abuse Regulation ("MAR") introduces a new market abuse regime from 3 July 2016. MAR is designed to introduce a common regulatory framework on market abuse across the EU and...
View ArticleBanking Disputes Quarterly - Q1 May 2016
Welcome to the Q1 2016 edition of our Banking Disputes Quarterly, designed to keep you up to date with the latest news and legal developments and to inform you about future developments that may affect...
View ArticleNo more passporting post-Brexit?
UK authorised financial institutions (banks, investment firms, fund managers, insurers, insurance intermediaries payment institutions and e-money issuers) can carry out their activities across the EEA...
View ArticleFCA thematic review finds failures in oversight of authorised representatives...
On 22 July 2016, the Financial Conduct Authority (FCA) published the results of a thematic review in which the FCA found significant shortcomings in the control and oversight of appointed...
View ArticleLatest FCA consultations on the UK implementation of MiFID II
On 15 May 2014, the European Parliament adopted the legislative proposal on the second Directive on Markets in Financial Instruments (MiFID II) and the Regulation on Markets in Financial Instruments...
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