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Archive by categoryRegulatory (Page 222)
goo.gl/o5FgRu www.moodysanalytics.com/regulatory-news/may-28-18-ecb-updates-its-guide-to-fit-and-proper-assessments-under-ssm Click to access ssm.fap_guide_201705_rev_201805.en.pdf 0
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June 28, 2018 webmaster
Banking, European Union, Regulatory, Risk Management
www.loyensloeff.ch/en/news/fidleg-finig-what-s-new/ www.cms-lawnow.com/ealerts/2018/06/switzerland-adopts-new-laws-on-financial-services-and-financial-institutions www.pwc.ch/en/insights/regulation/finia-and-finsa-on-the-right-track.html www.efd.admin.ch/efd/en/home/themen/wirtschaft–waehrung–finanzplatz/finanzmarktpolitik/fidleg-finig/fb-fidleg-finig.html www.fincontrol.ch/en/fidleg-and-finig pestalozzilaw.com/en/news/legal-insights/fidleg/ www.lenzstaehelin.com/publications/newsletters/more/4611/ pestalozzilaw.com/en/news/legal-insights/finig/ www.lenzstaehelin.com/publications/newsletters/newsletters/more/4676/ blog.froriep.com/en/marekting-foreign-collective-investment-schemes-to-swiss-investors-changes-by-finsa-fidleg-lsfin See also: www.baerkarrer.ch/publications/FinSA%2520-%2520Collective%2520Investment%2520Schemes.pdf www.loyensloeff.ch/en/news/cross-border-distribution-of-collective-investment-schemes/ blog.froriep.com/en/finsa-lsfin-fidleg-requirements-for-financial-services-providers www.baerkarrer.ch/publications/FinIA%2520-%2520Portfolio%2520Managers%2520and%2520Trustees.pdf Click to access FinSA%20-%20Cross%20Border.pdf Click to access FinsA%20-%20Segmentation%20and%20Conduct%20Rules.pdf blog.vischer.com/en/finsa-/-finia-are-just-around-the-corner blog.vischer.com/en/client-advisors-must-now-be-registered blog.vischer.com/de/kundenberater-m%C3%BCssen-neu-ins-beraterregister www.loyensloeff.com/be/en/expertise/practice-areas/tax/new-amendments-to-the-drafts-finso-finio-and-soo-n16783/ blog.vischer.com/en/the-prospectus-requirement-under-the-financial-services-act www.mme.ch/en/magazine/magazine-detail/url_magazine/finsafinia_in_a_nutshell_changes_for_financial_service_providers/ www.mme.ch/en/magazine/magazine-detail/url_magazine/do_virtual_assets_qualify_as_financial_instruments_in_the_sense_of_the_finsa/ www.vischer.com/know-how/blog/opting-out-fuer-immer-vermoegende-privatkunden-unter-dem-fidleg-38927/ Update: www.admin.ch/gov/en/start/documentation/media-releases.msg-id-76957.html See also: blog.vischer.com/en/must-deputies-or-executors-also-observe-the-finia-and-finsa#page=1 pestalozzilaw.com/en/news/legal-insights/duty-register-client-advisers-foreign-financial-service-providers-be-or-not-be/ 0
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June 27, 2018 webmaster
Regulatory, Switzerland
goo.gl/BQrmGf goo.gl/ipRhED goo.gl/zqJFW2 Click to access uksi_20180698_en.pdf See also: goo.gl/XwtKLC 0
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June 27, 2018 webmaster
Funds, Regulatory, UK
www.fincen.gov/news/news-releases/fincen-issues-advisory-human-rights-abuses-enabled-corrupt-senior-foreign Click to access PEP%20Facilitator%20Advisory_FINAL%20508.pdf goo.gl/XfyaJB www.wilmerhale.com/en/insights/client-alerts/2017-12-22-global-magnitsky-sanctions-target-human-rights-abusers-and-government-corruption-around-the-world home.treasury.gov/news/press-releases/sm0243 home.treasury.gov/news/press-releases/sm0411 home.treasury.gov/news/press-releases/sm0417 home.treasury.gov/news/press-releases/sm0243 0
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June 27, 2018 webmaster
Money Laundring, Regulatory, US
buckleysandler.com/blog/2018-06-15/global-bank-settles-fcpa-allegations-concerning-“sons-and-daughters”-investigation-hiring-practices www.mme.ch/en/magazine/magazine-detail/url_magazine/credit_suisse_pays_usd_47_million_fine_for_allegations_of_corruption/ www.credit-suisse.com/corporate/en/articles/media-releases/credit-suisse-hong-kong-ltd-reaches-a-non-prosecution-agreement–201806.html buckleysandler.com/blog/2018-07-06/global-bank-pays-767-million-settle-hiring-practices-case-0 0
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June 26, 2018 webmaster
Conflict of Interest, Regulatory, Risk Management, US
www.jdsupra.com/legalnews/sec-provides-framework-to-determine-if-79938/ goo.gl/qxDDHe Click to access SC_Publication_SEC_Director_Remarked_on_the_Application_of_Securities_Laws_to_Digital_Assets.pdf www.jdsupra.com/legalnews/a-summary-of-the-sec-s-speech-on-94477/ goo.gl/6bfFd2 www.sec.gov/news/speech/speech-hinman-061418 See also: goo.gl/GJCJQF goo.gl/ZRD8Nb 0
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June 25, 2018 webmaster
Crypto Currencies, Regulatory, US
ariaslaw.com/es/prensa/pn-se-regula-el-traspaso-de-acciones-a-titulo-oner 0
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June 20, 2018 webmaster
Panama, Regulatory, Tax
goo.gl/sV3MgQ See also: goo.gl/5BPmq1 Growing up: crypto derivatives 0
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June 15, 2018 webmaster
Banking, Crypto Currencies, Regulatory, US
www.sfo.gov.uk/2018/06/01/new-joint-principles-published-to-compensate-victims-of-economic-crime-overseas/ 0
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June 14, 2018 webmaster
Regulatory, UK
www.barlaw.co.il/client-updates/new-financial-services-law-establishes-mandatory-licensing-requirement-for-financial-service-providers/ www.barlaw.co.il/client-updates/control-financial-asset-services-update/ www.hfn.co.il/client-update-postponement-regulated-financial-services-law-regarding-providers-services-financial 0
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June 12, 2018 webmaster
Israel, Regulatory