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Results: 11-20 of 1,843

Tracker, Financial Services Regulation & Compliance - Investment Firms
  • A&L Goodbody
  • European Union, Ireland, United Kingdom
  • September 6 2016

The CBI has released a statement to draw attention to a warning issued by ESMA on 25 July in relation to Contracts for Difference, binary options and


Regulatory Round-Up
  • William Fry
  • European Union, Ireland
  • September 5 2016

On 11 August 2016, the European Commission adopted an Implementing Regulation establishing a list of critical benchmarks and


The Front Page - Q&A: Aug 2016 (31 August 2016)
  • A&L Goodbody
  • Ireland
  • August 31 2016

Q: Did the Central Bank clarify its position on whether SFTR "grandfathering" applies at umbrella level?


The Front Page, Asset Management & Investment Funds: Irish Practice Developments (31 August 2016)
  • A&L Goodbody
  • Ireland
  • August 31 2016

The majority of the Companies Act 2014’s provisions commenced on 1 June 2015 (Commencement Date). If a UCITS management company (UCITS ManCo) or AIFM


SEC Settles Enforcement Cases with Two Companies for Whistleblower Violations
  • Cahill Gordon & Reindel LLP
  • Ireland, USA
  • August 30 2016

In mid-August, the Securities and Exchange Commission ("SEC") issued cease-and-desist orders against BlueLinx Holdings Inc. ("BlueLinx") and Health


The OSC whistleblower program and employment agreements
  • Davies Ward Phillips & Vineberg LLP
  • Canada, Ireland, USA
  • August 29 2016

On July 14, 2016, the Ontario Securities Commission (OSC) launched the Office of the Whistleblower, the first paid whistleblower program by a


SEC Continues Crackdown on Severance Agreements
  • Manatt Phelps & Phillips LLP
  • Ireland, USA
  • August 26 2016

The Securities and Exchange Commission (SEC) continued its efforts against anti-whistleblowing provisions in severance agreements, fining one employer


Recent SEC Enforcement Activity Demonstrates Agency’s Continued Effort to Protect Whistleblowers
  • Squire Patton Boggs
  • USA, Ireland
  • August 26 2016

A spate of recently settled enforcement actions by the Securities and Exchange Commission (SEC) serves as a reminder to companies of the SEC's focus


The Practical Implications of MiFID II: Reporting and Records - Additional Obligations
  • LK Shields
  • European Union, Ireland
  • August 25 2016

MiFIR contains detailed provisions regarding the reporting of transactions to the national competent authorities (NCAs) of the various EU Member


You May Not Stack the Deck: SEC Announces Penalties Against Companies Requiring Employees to Waive Whistleblower Protections to Receive Severance
  • Bryan Cave LLP
  • Ireland, USA
  • August 25 2016

The Securities and Exchange Commission ("SEC") recently announced that two companies agreed to pay penalties of more than $500,000, combined, for