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International Regulatory Update 12 - 16 September 2016
  • Clifford Chance LLP
  • European Union, United Kingdom, USA
  • September 20 2016

Clifford Chance's International Regulatory Update is a weekly digest of significant regulatory developments affecting banking and investment banking


MAR_bitesize - New Market Abuse powers for the FCA (2)
  • Herbert Smith Freehills LLP
  • United Kingdom
  • September 19 2016

The Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (the "regulations") were passed to ensure that UK law was compatible with


2016 Mid-Year Cross-Border Government Investigations and Regulatory Enforcement Review
  • Baker & Hostetler LLP
  • European Union, United Kingdom, USA
  • September 14 2016

The U.S. government has continued its aggressive enforcement of U.S. securities laws against individuals and entities located outside the U.S. for


2016 Mid-Year Global Cartel Enforcement Report
  • Morgan Lewis & Bockius LLP
  • China, European Union, Germany, India, United Kingdom, USA
  • September 12 2016

Cartel enforcement remains a priority for competition authorities around the world. Global cartel fines totaled more than $6 billion through August


Implications of the UK’s Brexit Referendum
  • Ropes & Gray LLP
  • European Union, Global, OECD, United Kingdom, USA
  • September 1 2016

Potential implications on the use of passporting for asset management firms in a post-Brexit world Following the “Leave” result of the United


FinTech in Canada
  • McCarthy Tétrault LLP
  • Australia, Canada, China, France, United Arab Emirates, United Kingdom, USA, Germany, Global, Hong Kong, India, Singapore, Switzerland
  • September 22 2016

So what is FinTech? The phrase “FinTech”, first coined by a New York banker in 1972, refers to the intersection of technology and Financial services


Top Ten International Anti-Corruption Developments for July 2016
  • Morrison & Foerster LLP
  • OECD, United Kingdom, USA
  • August 29 2016

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international


Wall crossings and insider dealing Financial Services Authority levies the second highest ever fine against Greenlight Capital hedge fund trader David Einhorn
  • Hogan Lovells
  • United Kingdom
  • February 1 2012

On 12 January 2012, the Financial Services Authority ("FSA") levied its second highest ever fine of £3,638,000 against US hedge fund trader David Einhorn and a fine of £3,650,795 against Greenlight Capital Inc for market abuse


International Trade Compliance Update - September 2016
  • Baker & McKenzie
  • Australia, Canada, European Union, United Kingdom, USA
  • September 7 2016

On 19 August 2016, the Russian Federation notified the WTO that it intends to initiate negotiations pursuant to Paragraph 1143 of the Working Party


FSA bans and fines trader for unauthorized “pre-hedging”
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • May 29 2009

The UK Financial Services Authority (FSA) announced on May 26 that it had banned and fined trader Nilesh Shroff for deliberately disadvantaging his customers on seven occasions between June and October 2007 by partially "pre-hedging" program trades without the clients’ consent