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Money Laundring, Regulatory, Risk Management, US

Brazil: Central Bank issues new Sanctions Regime and Administrative Penalties

www.levysalomao.com.br/publications/LegalBulletin/approved-new-law-on-administrative-proceedings-in-financial-system www.mattosfilho.com.br/pages/detalhes-noticia/nID/2456/noticia/banco-central-regulamenta-novo-regime-sancionador-e-penalidades-administrativas Click to access Veirano_Client_Alert_Mercado_NOV2017_original.pdf www.bcb.gov.br/htms/normativ/Circular3857.pdf?r=1   0
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Brazil, Regulatory Cayman Islands, Money Laundring, Regulatory

UK: A Review of recent Developments and Trends in FCA Enforcement

www.shlegal.com/docs/default-source/news-insights-documents/a-review-of-recent-developments-and-trends-in-fca-enforcement—transcri.pdf?sfvrsn=95ed175b_0 Click to access FCA%20enforcement%20annual%20roundup%20and%20looking%20ahead%20to%202018.pdf www.dentons.com/en/insights/alerts/2019/august/21/priorities-and-trends-in-fca-enforcement-where-should-firms-direct-their-resources Update: www.out-law.com/en/articles/2018/march/fca-closer-supervisory-enforcement-collaboration/ www.mishcon.com/news/briefings/the-fcas-enforcement-mission www.dentons.com/en/insights/alerts/2018/april/3/fca-sets-out-its-approach-to-enforcement Who’s afraid of the FCA? See also: risk.freshfields.com/post/102ep9y/fca-enforcement-in-2017-dont-just-look-at-the-numbers 0
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Money Laundring, Regulatory, Risk Management, Sanctions, UK Banking, Regulatory, Risk Management, US

UK: Brexit and potential Relocation of Asset Management Services to Paris

www.kramerlevin.com/en/perspectives-search/brexit-and-the-potential-relocation-of-asset-management-services-in-paris.html thoughts.maplesandcalder.com/post/102er6l/post-brexit-eu-fund-access-for-uk-managers-everythings-ok-right www.charlesrussellspeechlys.com/en/news-and-insights/insights/financial-services/2018/brexit-and-financial-services-firms/ See also: thoughts.maplesandcalder.com/post/102eq24/commission-warns-of-brexit-consequences-for-uk-asset-managers www.natlawreview.com/article/ecb-publishes-article-impact-brexit-transition-period   0
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European Union, France, Regulatory, Tax, UK

EU: MiFID II Unbundling Rules – Implications for US Asset Managers and Broker-Dealers

www.paulweiss.com/practices/transactional/capital-markets-securities/publications/mifid-ii-unbundling-rules-implications-for-asset-managers-and-broker-dealers-in-the-united-states?id=25472 See also: www.kramerlevin.com/en/perspectives-search/sec-unveils-steps-to-facilitate-cross-border-implementation-of-mifid-ii-research-provisions-1693471.html www.sec.gov/news/press-release/2017-200-0 www.kramerlevin.com/en/perspectives-search/mifid-ii-state-of-play.html Update: www.shearman.com/en/perspectives/2023/03/mifid-ii–an-update-on-the-rules-for-unbundling-of-research Click to access mifid-ii-mifr-reform.pdf 0
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European Union, Regulatory, US Banking, Regulatory, US Banking, China, Regulatory Regulatory, Risk Management