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SEC proposes executive compensation claw-back rules
  • Dentons
  • USA
  • August 4 2015

The US Securities and Exchange Commission has proposed rules that would require issuers listed on US stock exchanges to adopt and disclose a policy


Third-country AIFMs: ESMA says slow down
  • Dentons
  • European Union, Global
  • August 3 2015

The Alternative Investment Fund Managers Directive (AIFMD) required ESMA to review, by July 2015, how the arrangements under AIFMD for marketing AIFs


Financial Regulatory Developments 31 July - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • July 31 2015

FCA has made new rules: extending the "next business day rule", that allows firms to handle complaints less formally, without sending a final


Financial Regulatory Developments 31 July - European Systemic Risk Board (ESRB)
  • Dentons
  • European Union
  • July 31 2015

ESRB has published the following reports to help the Commission's review of the European Market Infrastructure Regulation (EMIR) : report on issues


Financial Regulatory Developments 31 July - European Securities and Markets Authority (ESMA)
  • Dentons
  • European Union
  • July 31 2015

ESMA is consulting on sound remuneration procedures under UCITS V. Its main aim is to bring the requirements relating to Undertakings For The


Financial Regulatory Developments 31 July - International Organisation of Securities Commissions (IOSCO)
  • Dentons
  • Global
  • July 31 2015

IOSCO has published a thematic review of progress in the regulation of derivative market intermediaries (DMS). In general, the review found that


Financial Regulatory Developments 31 July - Bank for International Settlements (BIS)Basel Committee on Banking Supervision (Basel Committee)
  • Dentons
  • Global
  • July 31 2015

The Basel Committee and IOSCO have published the final version of their report on defining simple, transparent and comparable securitisations. These


Financial Regulatory Developments 31 July - Agency for the Cooperation of Energy Regulators (ACER)
  • Dentons
  • European Union
  • July 31 2015

ACER has approved the first five third-party Registered Reporting Mechanisms (RRMs) under the Regulation on Energy Market Integrity and Transparency


Access to capital for small businesses: SEC adopts final rules to implement "Regulation A" offering exemption under the JOBS Act
  • Dentons
  • USA
  • July 31 2015

The new Regulation A oering exemption, which the SEC recently adopted under Title IV of the JOBS Act, has taken eect. The new rules, also known as


Financial Regulatory Developments 24 July - Council of the European Union (Council)
  • Dentons
  • European Union
  • July 24 2015

The Council has published the Minutes of a meeting of the Economic and Finance Ministers (ECOFIN). Among other things, it formally decided not to