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Results: 1-10 of 1,199

Equator Principles III is approved and launched new trends and a strategy rethink

  • Norton Rose Canada LLP
  • -
  • Global
  • -
  • May 18 2013

The Equator Principles (EP) is an agreement amongst 76 global financial institutions (known as EP Financial Institutions or EPFI) to apply

New shareholder rights plan proposal may act as catalyst for proxy contests

  • Norton Rose Canada LLP
  • -
  • Canada
  • -
  • April 19 2013

Last month, the Canadian Securities Administrators (CSA) published for comment proposed National Instrument 62-105 (NI 62-105), a discussion on which

Reporting on interest rate risk in the non-trading book

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • October 15 2007

In Policy Statement 0610, Integrated Regulatory Reporting (IRR) Credit institutions and certain investment funds the FSA reported that it would be setting a high threshold for obtaining a waiver of FSA017 (interest rate gap

High standard of care when dealing with unsophisticated investors and public funds

  • Norton Rose Australia
  • -
  • Australia
  • -
  • January 15 2013

The unreported decision of Rares J contains a well reasoned and detailed judgment from His Honour canvassing many current legal topics ranging from

MiFID Permissions and Notifications Guide

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • June 28 2007

On 22 May 2007 the FSA published the MiFID Permissions and Notifications Guide (Guide

BaFin accepts BVI rules of good conduct

  • Norton Rose LLP
  • -
  • Germany
  • -
  • February 22 2010

The Association of Investment and Asset Management (BVI) has produced standards which provide an interpretation of Section 9 of the Investment Act (InvG) which sets out general rules of conduct applicable to management companies

Registration of non-resident investment fund managers in Canada

  • Norton Rose Canada LLP
  • -
  • Canada
  • -
  • August 3 2012

On July 5, 2012, the Canadian provinces of Ontario, Quebec and Newfoundland and Labrador (the Local Jurisdictions) announced that, pending ministerial approval, Multilateral Instrument 32-102 Registration Exemptions for Non-Resident Investment Fund Managers (MI 32-102) will come into force on September 28, 2012

Exemptive relief granted to facilitate foreign offerings being extended into Canada

  • Norton Rose Canada LLP
  • -
  • Canada
  • -
  • May 3 2013

On April 23, 2013, Canadian securities regulators provided exemptive relief from certain disclosure requirements to a group of dealers in

Supplementary annex to good and poor practices in Key Features Documents

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • May 11 2009

The FSA has published a supplementary annex to its report on good and poor practices in Key Features Documents which was originally published on 28 September 2007

FSMT upholds FSA’s findings of market abuse by Robin Chhabra and Sameer Patel

  • Norton Rose LLP
  • -
  • United Kingdom
  • -
  • January 15 2010

On 11 January 2010 the Financial Services and Markets Tribunal (FSMT) published its decision in the case of Robin Chhabra and Sameer Patel and the Financial Services Authority (FSA) concerning the FSA’s earlier findings of market abuse against Mr Chhabra and Mr Patel

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