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Financial Regulatory Developments 29 August - European Securities and Markets Authority (ESMA)

  • Dentons
  • -
  • European Union
  • -
  • August 29 2014

ESMA has published its opinion on how it expects national regulators to apply the modifications to the guidelines on money market funds (MMF) which

Financial Regulatory Developments 29 August - Prudential Regulation Authority (PRA)

  • Dentons
  • -
  • United Kingdom
  • -
  • August 29 2014

PRA has published its statements of supervisory policy (SSPs) on: subordinated guarantees and use of capital. This statement sets out PRA's

Financial Regulatory Developments 29 August - European Supervisory Authorities (ESAs)

  • Dentons
  • -
  • European Union
  • -
  • August 29 2014

The Joint Committee of the ESAs has published the translations of the guidelines for complaints-handling for the securities and banking sectors. They

Financial Regulatory Developments 29 August - European Commission (Commission)

  • Dentons
  • -
  • European Union
  • -
  • August 29 2014

The Commission has adopted the Delegated Regulation containing regulatory technical standards (RTS) on the identification of the geographical location

Financial Regulatory Developments 29 August - European Systemic Risk Board (ESRB)

  • Dentons
  • -
  • European Union
  • -
  • August 29 2014

ESRB is generally supportive of ESMA's proposal to subject certain classes of OTC interest rate derivatives to central clearing. However, its

Financial Regulatory Developments 29 August - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom
  • -
  • August 29 2014

FCA has published a report on how the industry is dealing with the reporting obligations the European Market Infrastructure Regulation (EMIR) imposes

SEC adopts regulation AB II

  • Cadwalader Wickersham & Taft LLP
  • -
  • USA
  • -
  • August 28 2014

This morning the Securities and Exchange Commission in an open meeting voted to adopt long-awaited final rules (the "Final Rules") implementing a

The SEC noble prosecution: takeaways from the O’Rourke, Jackson and Ruehlen settlements

  • Debevoise & Plimpton LLP
  • -
  • USA
  • -
  • August 28 2014

In the realm of FCPA enforcement, where the vast majority of cases are settled before the filing and litigation of formal charges, it is often hard

Of activists and activism: why we have seen a rise in activist funds examining Australian listed entities for opportunities

  • Corrs Chambers Westgarth
  • -
  • Australia
  • -
  • August 28 2014

The recent surge in attention being given to "activist shareholders" in Australia has seen them getting a more sympathetic ear from fund managers

This week in securities litigation (week ending August 28, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 28 2014

In the roll-up to the Labor Day weekend, the SEC issued new rules regarding asset backed securities and credit rating agencies. The Commission also