Education: Global Financial Services Regulatory Guide
www.bakermckenzie.com/-/media/files/insight/publications/2016/07/guide_global_fsrguide_2017.pdf?la=en 0
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Home » Posts taggedRegulatory (Page 204)
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
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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
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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
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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
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Australia: ASIC and APRA publish Corporate Plans 2019-23
corrs.com.au/insights/did-the-banking-royal-commission-awaken-the-sleeping-giants-asic-and-apra-publish-corporate-plans-2019-23 Click to access australian_financial_services.pdf 0
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UK: Fines, Disgorgement, Injunctions, Disbarment
globalinvestigationsreview.com/benchmarking/the-practitioner%E2%80%99s-guide-to-global-investigations-third-edition/1179142/fines-disgorgement-injunctions-disbarment-the-uk-perspective globalinvestigationsreview.com/guide/the-practitioners-guide-global-investigations/2021/article/fines-disgorgement-injunctions-debarment-the-uk-perspectiveSee also:www.cms-lawnow.com/publications/2021/05/watch-on-demand-managing-investigations-video-series-the-regulated-financial-services-sector?cc_lang=en#page=1 0
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Panama: Superintendence of Banks updates provisions on Corporate Governance
ariaslaw.com/en/press/pty-superintendence-of-banks-updates-provisions-on 0
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US: SEC charges dual Registrant with defrauding Advisory Clients
www.findknowdo.com/news/08/30/2019/sec-charges-dual-registrant-defrauding-advisory-clients?utm 0
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Hong Kong: SFC launches key risk indicator platform to enhance risk monitoring
bit.ly/2pmnjLh 0
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