Portugal: Brexit Temporary Permission Regime
www.plmj.com/en/knowledge/legal-insights/Brexit-Portugal-Temporary-Permission-Regime/31173/ 0
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Home » Archive by categoryRegulatory (Page 180)
US: French Broker-Dealer settles FINRA charges on recordkeeping and supervisory Failures
www.findknowdo.com/news/01/07/2021/broker-dealer-settles-finra-charges-recordkeeping-and-supervisory-failures?utmwww.finra.org/sites/default/files/fda_documents/2018059192701%20LPL%20Financial%20LLC%20CRD%206413%20AWC%20va.pdf 0
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New Zealand: FMA grants Australian licensees class exemption
www.minterellison.co.nz/our-view/fma-grants-australian-licensees-class-exemption 0
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Switzerland: FINMA Guidance 10/2020 – LIBOR transition roadmap
pestalozzilaw.com/en/news/legal-insights/finma-guidance-102020-libor-transition-roadmap/www.wengervieli.ch/getattachment/478731af-6a26-4d53-af26-4f1bdee2efbd/GUIDELINES-The-End-of-LIBOR-is-Approaching-(2020).pdf.aspx 0
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EU: ESMA and the FCA extend the temporary 0.1% Net Short Position Reporting Threshold
www.akingump.com/en/news-insights/esma-and-the-fca-extend-the-temporary-01-net-short-position-reporting-threshold.html 0
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US: President Biden begins Tenure with Regulatory Freeze
www.findknowdo.com/news/01/21/2021/president-joseph-r-biden-begins-tenure-regulatory-freeze?utmbuckleyfirm.com/blog/2021-01-22/biden-freezes-regulationswww.whitehouse.gov/briefing-room/presidential-actions/2021/01/20/regulatory-freeze-pending-review/#contentwww.lawandtheworkplace.com/2021/01/white-house-regulatory-freeze-memo-dooms-dol-independent-contractor-rule/#page=1www.whitehouse.gov/briefing-room/presidential-actions/2021/01/20/regulatory-freeze-pending-review/#contentUpdate:www.findknowdo.com/news/02/26/2021/president-biden-revokes-prior-executive-orders-limiting-agency-rulemaking?utm 0
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US: Bank Settles FinCEN Charges for BSA Violations
www.findknowdo.com/news/01/19/2021/bank-settles-fincen-charges-bsa-violations?utm 0
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US: Pennsylvania permanently allows remote Notarization of Documents
www.atyourbequest.com/article.php?p=pennsylvania-permanently-allows-remote-notarization-of-documentsSee also:www.dlapiper.com/en/us/insights/publications/2021/08/remote-notarization-is-here-to-stay/www.thompsoncoburn.com/insights/publications/item/2021-09-07/illinois-codifies-procedures-for-remote-execution-of-wills 0
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Luxembourg: Credit institutions and investment firms impacted by new CSSF circular
www.arendt.com/jcms/p_62335/en/credit-institutions-and-investment-firms-impacted-by-key-cssf-circularwww.cms-lawnow.com/ealerts/2020/12/cssf-communique-relating-to-central-administration-internal-governance-and-risk-management?cc_lang=en 0
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US: Agencies issue FAQs on SAR Filings for Covered Financial Institutions
www.findknowdo.com/news/01/20/2021/agencies-issue-faqs-sar-filings-covered-financial-institutions?utmbuckleyfirm.com/blog/2021-01-22/agencies-release-sarsaml-consideration-faqs#page=1www.covfinancialservices.com/2021/01/federal-agencies-jointly-release-responses-to-faqs-on-sars-and-other-aml-considerations/#page=1 0
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