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International regulatory update

Clifford Chance LLP
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Australia, European Union, Germany, Netherlands, Singapore, Switzerland, United Kingdom, USA
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April 4 2011

The Ministry of Justice has published its final guidance under section 9 of the Bribery Act 2010 about procedures that relevant commercial organisations can put in place to prevent persons associated with them from bribing

The final FATCA regulations is FATCA now just compliance, or do real risks remain for international financial institutions and transactions?

Clifford Chance LLP
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USA
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January 22 2013

Since FATCA was enacted in 2010 there has been widespread concern at the cost of compliance. But many have also been concerned at the two key legal

International regulatory update 4 Feb-8 Feb 2013

Clifford Chance LLP
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European Union, Germany, Global, Hong Kong, Singapore, United Kingdom, USA
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February 11 2013

EMIR: European Parliament’s resolution to reject Delegated regulations withdrawn; MiFID review: EU Council Presidency publishes Compromise texts

SEC issues proposed rules on the scope of exemptions from registration available to non-U.S. investment advisers under the Dodd-Frank Act

Clifford Chance LLP
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USA
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November 23 2010

On Friday, November 19, 2010, the U.S. Securities and Exchange Commission (the “SEC”) issued proposed rules relating to provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) that make fundamental changes in the regulatory regime under the U.S. Investment Advisers Act of 1940 (the “Advisers Act”) for advisers to certain private funds exempt from “investment company” regulation under the U.S. Investment Company Act of 1940 (the “Investment Company Act”

U.S. agencies issue proposed rule to implement the incentive-based compensation requirement under Dodd-Frank

Clifford Chance LLP
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USA
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February 18 2011

The Office of the Comptroller of the Currency, Treasury; Board of Governors of the Federal Reserve System; Federal Deposit Insurance Corporation; Office of Thrift Supervision, Treasury; National Credit Union Administration ("NCUA"); U.S. Securities and Exchange Commission ("SEC"); and the Federal Housing Finance Agency ("FHFA") (collectively, the "Agencies") issued a joint proposed rule (the "Proposed Rule") on February 7, 2011 to implement Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act"), which generally prohibits incentive-based compensation practices at "covered financial institutions" (as defined below) which encourages inappropriate risk-taking

The changing contractual landscape

Clifford Chance LLP
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United Kingdom, USA
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November 11 2010

Conflicting court decisions and divergent cross-border laws are leading to increasing uncertainty in cases affecting the financial markets

The SEC grants further exemption for certain non-U.S. transactions from compliance with Rule 17g-5(a)(3)

Clifford Chance LLP
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USA
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November 26 2010

The SEC's exemption for certain non-U.S. transactions from the requirements of Rule 17g-5(a)(3) has been extended until 2 December 2011

The SEC grants a temporary reprieve for certain non-U.S. transactions from compliance with Rule 17g-5(a)(3)

Clifford Chance LLP
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USA
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November 25 2010

On 19 May 2010, after extensive lobbying, the SEC granted a 6-month exemption for certain non-U.S. transactions from the requirements of Rule 17g-5(a)(3

Cross-border litigation series: CFTC requests comment on its proposed interpretations of statutory disruptive practices

Clifford Chance LLP
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USA
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March 29 2011

As part of last year’s financial reform legislation, the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), Congress amended the Commodity Exchange Act (CEA) to prohibit three trading practices it deemed disruptive to fair and equitable trading on registered futures and swaps markets

Cross-border litigation series: the first corporate guilty verdict under the Foreign Corrupt Practices Act: does that mean you have to settle?

Clifford Chance LLP
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USA
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May 12 2011

Following the first trial and jury conviction of a corporate defendant under the Foreign Corrupt Practices Act, the Department of Justice has another cudgel to beat back challenges to its aggressive enforcement efforts

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