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Revised EU Capital and Remuneration Framework for Investment Firms - Proposal

European Union - January 30 2018 On December 20, 2017, the European Commission (EC) published draft legislative proposals for a revised prudential framework for EU...

John M. Casanova, Rachpal K. Thind, Matthew Dening.

EU PRIIPs Regulation - Impact on EU and Non-EU Fund Managers

European Union - November 27 2017 The EU packaged retail and insurance-based Investment Products (PRIIPs) Regulation (the PRIIPs Regulation) will apply throughout the...

Securities and Exchange Commission Issues No-Action Letters to Address MiFID II

USA - October 30 2017 On Oct. 26, 2017, the U.S. Securities and Exchange Commission (SEC) staff issued three no-action letters intended to provide guidance to...

Laurin Blumenthal Kleiman, James Brigagliano, W. Hardy Callcott.

Money Laundering Regulations 2017: Preparing for the UK’s New Customer Due Diligence Regime

United Kingdom, European Union - May 30 2017 The UK is amending its requirements as to customer due diligence (and related matters) in the context of antimoney-laundering and counter-financing...

John M. Casanova, Rachpal K. Thind, Tom Hunter.

MiFID II 2016 Update - Implications for EU and Non-EU Investment Managers (UPDATED MAY 2017)

USA, United Kingdom, European Union - May 5 2017 MiFID II, which is to be implemented throughout the EU on January 3, 2018, represents a comprehensive and far-reaching set of reforms that will...

John M. Casanova, Rachpal K. Thind, Matthew Dening.