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Results: 1-10 of 72

The new financial regulator in the UK - some practical points

  • Dechert LLP
  • -
  • United Kingdom
  • -
  • March 28 2013

It cannot have escaped anyone's attention that the Financial Services Authority (FSA) ceases to exist as such on Monday 1 April 2013. In its place

New U.S. laws criminalize theft of quantitative trading and investment models and other trade secrets and dramatically increase potential monetary penalties for thefts which benefit non-U.S. entities

  • Dechert LLP
  • -
  • USA
  • -
  • February 4 2013

The U.S. Congress recently passed two laws that raise the stakes dramatically for employees of financial services firms and anyone else who

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

Final U.S. rule on designation of SIFIs emphasizes the importance of full engagement in the designation process

  • Dechert LLP
  • -
  • USA
  • -
  • April 18 2012

The Financial Stability Oversight Council (“FSOC”) recently issued a final rule and interpretive guidance regarding the standards and procedures that it will apply for the designation of nonbank financial companies that are systemically important for U.S. financial stability (“SIFIs”

Hong Kong’s new anti-money laundering law

  • Dechert LLP
  • -
  • Hong Kong
  • -
  • March 22 2012

Following an evaluation of Hong Kong in 2008, the Financial Action Task Force (“FATF”) identified the following deficiencies in the Hong Kong anti-money laundering (“AML”) and counter-terrorist financing (“CTF”) regime

Outsourcing for U.S. financial institutions after Dodd-Frank: regulation, risk and governance

  • Dechert LLP
  • -
  • USA
  • -
  • March 22 2012

The global economic crisis has powerfully re-taught a lesson that we have understood for some time the whole world is economically connected

The FICOD review

  • Dechert LLP
  • -
  • European Union
  • -
  • March 14 2012

In February 2012, the European Commission launched its review of the Financial Conglomerates Directive (200287EC) (“FICOD”

Consolidated version of FSMA reflecting the Financial Services Bill as introduced to Parliament

  • Dechert LLP
  • -
  • United Kingdom
  • -
  • March 14 2012

On 22 February 2012 HM Treasury published a revised consolidated version of the Financial Services and Markets Act 2000 (“FSMA”) which reflects how it will be amended by the Financial Services Bill (the “FS Bill”) in the form the Bill took when introduced into Parliament on 26 January 2012

The FSA’s Retail Distribution Review: draft VAT guidance

  • Dechert LLP
  • -
  • United Kingdom
  • -
  • March 14 2012

HMRC recently circulated revised draft guidance on the VAT treatment of retail investment advisers’ services after the introduction of new regulatory rules on 31 December 2012 implementing the FSA’s Retail Distribution Review (the “RDR”

Guidance on unfair contract terms

  • Dechert LLP
  • -
  • United Kingdom
  • -
  • February 16 2012

On 30 January 2012, the FSA published final guidance on the above (FG122) which provides a commentary on the types of contract term that the FSA commonly finds to be of concern under the Unfair Terms in Consumer Contracts Regulations 1999 (SI 19992083

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