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Results 1 to 5 of 26



The Securities Financing Transactions Regulation

European Union - November 25 2015 The Council of the EU formally adopted the Securities Financing Transactions Regulation (SFTR) on 16 November 2015, which will form part of the EU’s…

Co-authors: Dr. Alexander Glos, Raffaele Lener, David Rouch, James Smethurst, Michael Raffan.


PSD2: future-proofing payments in the EU?

European Union - October 30 2015 The original Payment Services Directive (PSD) was adopted in 2007. Since then, the retail payments market has experienced significant technical…

Co-authors: Claire Harrop, Adam Ryan, Natasha Good.


MiFID 2

European Union - March 25 2014 The MiFID revision comprises a recast Directive (MiFID 2) and a new Regulation (MiFIR). The texts of MiFID 2 and MiFIR were agreed by the European…

Co-authors: Dr. Alexander Glos, Raffaele Lener, David Rouch, James Smethurst, Michael Raffan.


Bank of the future - EU green paper on shadow banking

European Union - March 26 2012 The European Commission has published a green paper consulting on methods of oversight and regulation of entities and activities that make up the shadow banking system.

Co-authors: Guy Morton, David Rouch, James Smethurst, Michael Raffan.


Bank of the future: Leham client money judgment - Supreme Court confirms equal treatment for all clients

United Kingdom - March 14 2012 In the administration of Lehman Brothers International (Europe), the Supreme Court has confirmed that: client money is held on the statutory trust imposed by the FSA's Client Assets Sourcebook 7.7 from the time of receipt by a firm; the money treated as pooled at the primary pooling event (PPE) should be distributed to clients who have a contractual entitlement to have money segregated for them; and the pooling at the PPE includes all client money identifiable in any account of the firm into which client money has been received and is not limited to client money in the firm's segregated accounts.

Co-authors: Guy Morton, David Rouch, James Smethurst, Michael Raffan, Look Chan Ho.

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