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Amendment to Exemption Regulation AFS for investment firms from Australia, Switzerland and the US
- Norton Rose LLP
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- Australia, Netherlands, Switzerland, USA
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- 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
AIMA reiterates support for registration of hedge fund managers in the US
- Norton Rose LLP
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- USA
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- 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
FSA and SEC discuss approaches to global regulatory requirements
- Norton Rose LLP
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- United Kingdom, USA
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- 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
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- European Union, USA
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- 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
Geithner to propose vast expansion of US oversight of financial system
- Norton Rose LLP
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- USA
- -
- March 30 2009
The US Treasury Secretary plans to propose an expansion of federal authority over the financial system
CESR technical advice on the equivalence between the US regulatory and supervisory framework and the EU regulatory regime for CRAs
- Norton Rose LLP
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- European Union, USA
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- May 31 2010
The Committee of European Securities Regulators (CESR) has published its technical advice to the European Commission on the equivalence between the US regulatory and supervisory framework and the EU regulatory regime for credit rating agencies (CRAs
SEC and UK FSA hold fifth meeting of the SEC-FSA strategic dialogue
- Norton Rose LLP
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- 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
AIMA expresses concern about dual registration issue in US
- Norton Rose LLP
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- USA
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- May 18 2010
The Alternative Investment Management Association (AIMA) has issued a press release expressing concern about the issue of dual registration for non-U.S. investment advisers (hedge fund managers) in legislation currently being debated in Washington
Building a new financial framework together
- Norton Rose LLP
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- European Union, USA
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- May 18 2010
The European Commission has published a speech given by Michel Barnier (EU Commissioner for the Internal Market and Services) entitled Building a new financial framework
SIFMA publishes amended and restated money market trading practice guidelines
- Norton Rose LLP
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- USA
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- November 9 2009
The Securities Industry and Financial Markets Association (SIFMA) has published amended and restated guidelines on money market trading practice
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- Firm Name - Norton Rose LLP
- Author - Jonathan Herbst
- Author - Dorian Drew
- Jurisdiction - USA
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