US: Swiss Company settles CFTC and SEC charges for registration failures
www.findknowdo.com/news/10/31/2019/swiss-company-settles-cftc-and-sec-charges-registration-failures?utm_campaign 0
Continue reading
Home » Archive by categoryRegulatory (Page 202)
India: Regulator issues new FPI Regulations
www.dilloneustace.com/uploads/files/Indian-Regulator-issues-new-FPI-Regulations.pdfwww.taxathand.com/article/12377/India/2019/SEBI-simplifies-regulations-for-foreign-portfolio-investors 0
Continue reading
US: OCC releases Bank Supervision Operating Plan for 2020
bankingjournal.aba.com/2019/10/occ-outlines-supervision-priorities-for-2020/ buckleyfirm.com/blog/2019-10-03/occ-outlines-fiscal-year-2020-supervision-priorities www.occ.gov/news-issuances/news-releases/2019/nr-occ-2019-111.html 0
Continue reading
UK: Prudent Person Principle – PRA sets out its expectations
www.bankofengland.co.uk/prudential-regulation/publication/2019/solvency-ii-prudent-person-principle 0
Continue reading
Trends: 130 Banks commit to UN Principles for Responsible Banking
www.globalelr.com/2019/09/130-banks-commit-to-un-principles-for-responsible-banking/ 0
Continue reading
Education: Global Financial Services Regulatory Guide
www.bakermckenzie.com/-/media/files/insight/publications/2016/07/guide_global_fsrguide_2017.pdf?la=en 0
Continue reading
Education: LIBOR Discontinuation and Transition — What Investment Managers Should Know
www.lw.com/thoughtLeadership/libor-discontinuation-and-transition-what-investment-managers-should-knowwww.shlegal.com/docs/default-source/news-insights-documents/usd-loans—countdown-to-sofr-but-which-one—november-2021.pdf?sfvrsn=e4c6eb5b_0 See also: bit.ly/2xN658c bit.ly/2PixCZx www.whitecase.com/publications/alert/libor-and-transition-sofr-multiple-options-transition bit.ly/2msYZ8D 0
Continue reading
UK: A high-level guide to prosecutorial and enforcement agencies
www.penningtonslaw.com/news-publications/latest-news/2019/a-high-level-guide-to-uk-prosecutorial-and-enforcement-agencies/ 0
Continue reading
Turkey: Regulations on assets brought into Turkey from abroad introduced
www.morogluarseven.com/news-and-publications/turkey-introduces-regulations-on-assets-brought-into-turkey-from-abroad/ www.resmigazete.gov.tr/eskiler/2019/08/20190802-13.htm turkishlawblog.com/read/article/144/turkey-proposes-another-tax-amnesty-for-repatriation-of-foreign-assets 0
Continue reading
US: Former CCO settles FINRA Charges for Failure to update Information
www.findknowdo.com/news/09/10/2019/cco-settles-finra-charges-failure-update-information-within-required-time-period?utm 0
Continue reading