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Results: 1-10 of 4,301

Court affirms standard of review for decisions of securities commissions is reasonableness
  • Dentons
  • Canada
  • August 21 2013

The Appellants, Sanji Sawh and Vlad Trkulja, who were both mutual fund dealers and exempt market dealers, founded Investment House of Canada (“IHOC”


SEC proposes Dodd-Frank pay ratio rules
  • Dentons
  • USA
  • September 23 2013

The US Securities and Exchange Commission (SEC) has proposed values to implement the requirement of Section 953(b) of the Dodd-Frank Wall Street


Financial Regulatory Developments 4 July - European Systemic Risk Board (ESRB)
  • Dentons
  • European Union
  • July 4 2014

ESRB has published a recommendation on guidance on setting CCB rates. The common starting point in deciding CCB rates should be the deviation of the


Financial Regulatory Developments 4 July - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • July 4 2014

At FCA's June Board meeting, it made the following new rules: the Handbook Administration (No 34) Instrument 2014: this makes minor changes to


Financial Regulatory Developments 4 July - Law Commission
  • Dentons
  • United Kingdom
  • July 4 2014

The Law Commission has presented to Parliament its report on the fiduciary duties of investment intermediaries. The paper considers duties of pension


Financial Regulatory Developments 4 April - Global Financial Markets Association (GFMA)
  • Dentons
  • Global
  • April 4 2014

GFMA has asked the Commission to clarify that FX transactions entered into to facilitate buying or selling a foreign security (FX security


Financial Regulatory Developments 4 April - European Commission (Commission)
  • Dentons
  • European Union
  • April 4 2014

The Commission has updated its Work Programme for 2014. Highlights include: Solvency 2 implementing measures during Q2 2014; an assessment of the


Financial Regulatory Developments 4 April - Prudential Regulation Authority (PRA)
  • Dentons
  • United Kingdom
  • April 4 2014

PRA has published a policy statement confirming the final management expenses levy limit for the Financial Services Compensation Scheme (FSCS) for


Financial Regulatory Developments 4 April - Parliament
  • Dentons
  • United Kingdom
  • April 4 2014

The Treasury Committee announced it would hold an evidence session with the independent reviewer that FCA appoints to lead its inquiry into FCA's


Financial Regulatory Developments 11 April - European Commission (Commission)
  • Dentons
  • European Union
  • April 11 2014

The Commission has released a document, dated December 2013, listing its planned public consultations for the year 2014. The Internal Market-related