Federal Reserve Board reaches over SEC for US broker-dealers of foreign banking organizations *

USA - January 23 2013
The Dodd-FrankWall Street Reform and Consumer Protection Act directs the Board of Governors of the Federal Reserve System (Federal Reserve Board) to…

Co-authors: Andreas Fillmann, Francis Li , Anthony Cipiti, Jr., Patrick J. Fields .

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Financial services: enforcement & discipline *

United Kingdom - September 21 2012
The FSA regulates almost all financial services firms operating in the UK market.

Co-authors: Garon Anthony, Simon Price .

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Capital markets practice news round up: market abuse edition *

United Kingdom - April 11 2011
Welcome to the latest in our series of regular alerts containing a round-up of news from our capital markets practice.

Co-authors: Steven Glover, Giles Distin, Christian Lowis, Jane Haxby .

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EU regulations on over-the-counter (OTC) derivatives – impact on energy producers and consumers *

European Union - October 22 2010
In response to the global financial crisis, regulators have been seeking to bring more stability and transparency to the OTC derivatives market.

Co-authors: Adam Langridge, Jeremy Ladyman.

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FSA restates warning that firms may need to review their standard terms and conditions *

United Kingdom - June 25 2010
The FSA has recently re-emphasised (in a Regulation round-up dated 18 June 2010) the need for firms to review their standard contract terms and conditions to ensure their customers are not being requested to confirm that they had read and understood the terms of a contract which they may not have any real awareness of.

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