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MiFID2 - UK implementation update
  • Clifford Chance LLP
  • United Kingdom
  • December 6 2016

As the MiFID2 juggernaut Rolls into the national implementation phase the UK authorities are now in fourth gear on the production of UK


SEC enforcement quarterly - 3rd quarter 2016
  • Sidley Austin LLP
  • Ireland, United Kingdom, USA
  • December 1 2016

For the last several years, as we have observed in previous editions of the Quarterly, an increasing number of individuals or entities have sought to


Financial Regulatory Developments Focus November 18 2016
  • Shearman & Sterling LLP
  • European Union, Global, United Kingdom, USA
  • November 18 2016

On November 7, 2016, the US Office of the Comptroller of the Currency announced that it will launch a web-based system for banks to file licensing and


2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds
  • Proskauer Rose LLP
  • European Union, Hong Kong, Ireland, OECD, United Kingdom, USA
  • November 15 2016

On March 10, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released a


Guidance from the High Court on spoofing as a criminal offence
  • Clifford Chance LLP
  • United Kingdom, USA
  • November 4 2016

On 3 November 2016 the High Court handed down its judgment in the extradition proceedings between Navinder Sarao and the US Government. In doing so


Maples and Calder Funds Update - Ireland Quarterly Update July - September 2016
  • Maples and Calder
  • European Union, Global, Ireland, OECD, United Kingdom, USA
  • November 3 2016

The European Union (Undertakings for Collective Investment in Transferable Securities) (Amendment) Regulations 2016 implemented the UCITS V Directive


International Regulatory Update 24 - 28 October 2016
  • Clifford Chance LLP
  • European Union, Global, Hong Kong, United Kingdom, USA
  • November 1 2016

The EU Commission has published its Work Programme for 2017, setting out the list of actions it will take in the coming twelve months. The Commission


Supreme Court to decide if London Whale notices identified Achilles Macris
  • Squire Patton Boggs
  • United Kingdom
  • November 1 2016

In a previous blog we described how the FCA is facing a number of challenges from individuals arguing that they are identifiable from regulatory


Governance & Securities Law Focus: Europe Edition, October 2016
  • Shearman & Sterling LLP
  • Germany, Hong Kong, Italy, United Kingdom, USA
  • October 17 2016

On 15 September 2016, the European Parliament resolved to adopt amendments to the European Commission's proposal for a new Prospectus Regulation to


Banking and Finance Dispute Resolution - September 2016
  • Macfarlanes LLP
  • United Kingdom
  • September 19 2016

In Novus Aviation Limited v Alubaf Arab International Bank BSC 2016 EWHC 1575 (Comm), the Commercial Court determined that a letter of commitment