Australia: Reform of Professional Standards for Financial Advisers
www.bakermckenzie.com/en/insight/publications/2019/02/professional-standards-for-financial-advisers 0
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Home » Posts taggedRegulatory (Page 216)
Italy: Temporary hard Brexit provision for banking, financial and insurance services
cms.law/en/ITA/Publication/UK-entities-will-be-allowed-to-continue-to-operate-in-Italy-even-in-case-of-no-deal-Brexitwww.regulationtomorrow.com/eu/brexit/italy-announces-a-temporary-regime-for-italian-uk-provision-of-banking-financial-and-insurance-services/www.linklaters.com/en/insights/publications/2019/march/brexit-italy-prepares-for-a-hard-brexit-scenarioUpdate:www.legance.it/newsletter/nodeal-brexit-uk-alternative-fund-managers-operating-in-italywww.jonesday.com/en/insights/2021/01/temporary-postbrexit-regime-applies-to-uk-financial-institutions-italy 0
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Poland: Supervision Authority grants no Transition Period for UK Entities in the Case of a No-deal Brexit
www.natlawreview.com/article/knf-polish-financial-supervision-authority-announces-no-transition-period-uk www.linklaters.com/en/insights/publications/2019/march/polish-government-outlines-certain-relief-measures-for-uk-based-financial-institutions 0
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Germany: Trading activities between UK and German broker-dealers post Brexit
www.whitecase.com/publications/article/trading-activities-between-uk-and-german-broker-dealers-post-brexit-german www.twobirds.com/en/news/articles/2019/germany/brexit-what-do-customers-of-british-financial-institutions-in-germany-need-to-know 0
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Risk Management: Wolfsberg Group publishes Guidance on Sanctions Screening
www.eversheds-sutherland.com/global/en/what/articles/index.page?ArticleID=en/Fraud_and_financial_crime/The_Wolfsberg_Group_Publishes_Guidance_on_Sanctions_Screeninggoo.gl/tKvky1See also:www.quarles.com/publications/is-ofac-the-new-sheriff-in-town/ 0
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UK: FCA warns about misleading financial promotions for unregulated products
www.bovill.com/dear-ceo-letter-financial-promotions/ www.finance-disputes.co.uk/2019/01/fca-warns-firms-about-misleading-financial-promotions-for-unregulated-products/#page=1 info.dechert.com/10/11757/landing-pages/united-kingdom.asp?sid=78050d84-070c-433a-8d62-e5ea8de87a03#Issue11UK1 www.fca.org.uk/news/news-stories/dear-ceo-letter-financial-promotions Update:www.dlapiperintelligence.com/investmentrules/blog/articles/2022/FCA-on-misleading-financial-promotions.html 0
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US: FINRA Issues 2019 Risk Monitoring and Examination Priorities
www.winston.com/en/crypto-law-corner/finra-issues-2019-risk-monitoring-and-examination-priorities-letter.htmlblogs.orrick.com/blockchain/sec-and-finra-confirm-digital-assets-a-2019-examination-priority/www.jdsupra.com/legalnews/finra-announces-2019-regulatory-30220/www.winston.com/en/thought-leadership/finras-2019-risk-monitoring-and-examination-priorities-letter.htmlwww.mofo.com/resources/publications/190125-finra-risk-monitoring-examination-priorities.htmlwww.finra.org/industry/2019-annual-risk-monitoring-and-examination-priorities-letterSee also:bit.ly/3gDF2Vh 0
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UK: Brexit — Equivalence Decisions in Financial Service
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Singapore: ‘Unexplained Wealth Order’ introduced
www.jdsupra.com/legalnews/unexplained-wealth-order-comes-to-10741/ 0
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UK: Brexit – Financial institutions to apply for permission by March
www.cms-lawnow.com/ealerts/2019/01/brexit-financial-institutions-wishing-to-continue-doing-business-in-the-uk?cc_lang=enSee also:goo.gl/FfHt3wgoo.gl/jujazMgoo.gl/sux2mjgoo.gl/gRszTX 0
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