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First-step analysis: financial services compliance in United Kingdom

United Kingdom - March 16 2020 Your first-step guide to navigating the legal and practical issues surrounding financial services compliance in United Kingdom, including the regulatory framework, enforcement considerations and cross-border issues....

Jennifer Duffy, Mark Chalmers.

In brief: financial services compliance programmes in United Kingdom

United Kingdom - March 16 2020 This Q&A covers some of the key legal, regulatory and practical considerations for financial services firms when implementing a compliance programme in United Kingdom....

Jennifer Duffy, Mark Chalmers.

Prospectus liability regimes in Europe June 2013

European Union - June 12 2013 On June 10, 2013, the European Securities and Markets Authority ("ESMA"), following a request from the European Commission, published a report...

Jeffrey M. Oakes, Will Pearce, Dan Hirschovits.

The impact of the Alternative Investment Fund Managers Directive on non-E.U. Managers of non-E.U. Funds

United Kingdom, European Union - June 4 2013 The Alternative Investment Fund Managers Directive1 (the Directive) entered into force on July 21, 2011 with E.U. Member States (Member States)...

Nora M. Jordan, Gregory S. Rowland, Will Pearce, Richard Small.

U.K. Takeover Panel response to consultation May 2013

United Kingdom - May 21 2013 On May 15, 2013, the Code Committee of the U.K. Takeover Panel (the "Panel") published its response statement 20123 following a consultation on...

John Banes, Simon Evers, Will Pearce, Dan Hirschovits.