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Amendment to Exemption Regulation AFS for investment firms from Australia, Switzerland and the US

  • Norton Rose LLP
  • -
  • Australia, Netherlands, Switzerland, USA
  • -
  • April 27 2009

The Exemption Regulation to the Act on Financial Supervision (Vrijstellingsregeling Wft) has been amended to include an exemption to the licence obligation for investment firms providing investment services or investment activities (trading on own account

FSA and SEC discuss approaches to global regulatory requirements

  • Norton Rose LLP
  • -
  • United Kingdom, USA
  • -
  • September 24 2009

The FSA has announced that its Chief Executive, Hector Sants, and Mary Shapiro, chairman of the US Securities and Exchange Commission (SEC), will explore approaches to reporting and other regulatory requirements for key market participants such as hedge funds and their advisers

EU-US Coalition on Financial Regulation - response to CESR call for evidence on mutual recognition of non-EU jurisdictions

  • Norton Rose LLP
  • -
  • European Union, USA
  • -
  • September 24 2009

The EU-US Coalition on Financial Regulation (the Coalition) is an industry-led initiative created in 2005 to push for mutual regulatory recognition between EU member states and the US, as well as targeted rule convergence

FSA and SEC discuss approaches to global regulatory requirements

  • Norton Rose LLP
  • -
  • United Kingdom, USA
  • -
  • October 12 2009

The FSA has announced that its Chief Executive, Hector Sants, and Mary Shapiro, chairman of the US Securities and Exchange Commission (SEC), will explore approaches to reporting and other regulatory requirements for key market participants such as hedge funds and their advisers

SIFMA publishes amended and restated money market trading practice guidelines

  • Norton Rose LLP
  • -
  • USA
  • -
  • November 9 2009

The Securities Industry and Financial Markets Association (SIFMA) has published amended and restated guidelines on money market trading practice

AIMA reiterates support for registration of hedge fund managers in the US

  • Norton Rose LLP
  • -
  • USA
  • -
  • November 9 2009

The Alternative Investment Management Association (AIMA) has reiterated its support for the registration of hedge fund managers in the United States (U.S.) and for the reporting of systemically relevant information by larger managers to national authorities in the interests of financial stability

NYSE announces European clearing strategy

  • Norton Rose LLP
  • -
  • USA
  • -
  • May 28 2010

On 12 May 2010, NYSE Euronext announced that, subject to regulatory approval, it will commence clearing its European securities and derivatives business through two new, purpose-built clearing houses based in London and Paris in late 2012

Building a new financial framework together

  • Norton Rose LLP
  • -
  • European Union, USA
  • -
  • May 28 2010

On 11 May 2010, the European Commission published a speech given by Michel Barnier (EU Commissioner for the Internal Market and Services) entitled Building a new financial framework together

SEC and UK FSA hold fifth meeting of the SEC-FSA strategic dialogue

  • Norton Rose LLP
  • -
  • United Kingdom, USA
  • -
  • February 8 2010

The FSA and the US Securities and Exchange Commission have held their fifth meeting of the SEC-FSA strategic dialogue

FSA statement to the US bankruptcy court examiner on the collapse of Lehman Brothers Holdings Inc

  • Norton Rose LLP
  • -
  • United Kingdom, USA
  • -
  • March 26 2010

On 12 March 2010, the FSA published the statement that it had provided to the court appointed examiner of Lehman Brothers Holding Inc, which is referred to in his wider report on the collapse of Lehman Brothers

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