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Results: 1-10 of 2,527

OSFI’s new expectations with respect to the governance of federally-regulated financial institutions

  • Lavery de Billy LLP
  • -
  • Canada
  • -
  • March 20 2013

The quality of corporate governance practices increasingly represents a key factor to maintaining the trust of depositors, policyholders and most

This week at the UK regulators - 7 May 2013

  • Clifford Chance LLP
  • -
  • United Kingdom
  • -
  • May 7 2013

The FCA has remained active on all fronts during the past week. It has charged more individuals in connection with criminal investigations into

Financial services legislative and regulatory update

  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • -
  • USA
  • -
  • May 13 2013

What had been a relatively quiet week, where until Friday it seemed like the biggest news was that Treasury Secretary Jack Lew was working on his

FCA update on its status disclosure rules

  • RPC
  • -
  • United Kingdom
  • -
  • May 14 2013

On 1 May 2013, the Financial Conduct Authority (FCA) published a press release to clarify the 12 month transitional period for authorised firms to

Financial Holding Company Act 2013

  • Mayer Brown LLP
  • -
  • Singapore
  • -
  • May 9 2013

Singapore's legislature enacted the Financial Holding Company Act 2013 ("Act") on 8 April 2013. The Act introduces a regulatory framework for the

The regulation of introducers: Article 25 of the Regulated Activities Order

  • Nabarro LLP
  • -
  • United Kingdom
  • -
  • April 30 2010

We are often asked whether a person or company needs to be FSA-authorised when they provide an "introducing"-based financial service

A warning to financial institutions: failure to issue a litigation hold may have serious consequences

  • Frost Brown Todd LLC
  • -
  • USA
  • -
  • May 3 2013

As electronic discovery has become more prevalent and voluminous, national standards for the preservation of evidence have evolved dramatically in

Vital relationships - improving vendor management and oversight

  • Vorys Sater Seymour and Pease LLP
  • -
  • USA
  • -
  • August 21 2012

Financial institutions increasingly look to vendor relationships, including all types of third-party relationships with service providers, as a way to gain a competitive advantage

The FSA’s retail distribution review its impact on investment fund managers

  • Dechert LLP
  • -
  • United Kingdom
  • -
  • November 28 2012

The FSA’s Retail Distribution Review (“RDR”) will come into effect on 31 December 2012

New PRA and FCA regimes for approved persons

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom
  • -
  • October 11 2012

The FSA has published a consultation paper on the PRA and FCA regimes for approved persons (CP 1226

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