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29 results found

Article

Ropes & Gray LLP | United Kingdom | 18 Jun 2019

UK financial services regulators lay down a marker on money laundering in the capital markets

In a report published on 10 June, the Financial Conduct Authority has set out its assessment of the money laundering risks and vulnerabilities in the

Audio

Ropes & Gray LLP | USA | 10 Jun 2019

Podcast: Credit Funds: Replacing LIBOR - Steps To Consider Taking Now

In this podcast, Jill Kalish Levy and Joel Wattenbarger discuss the impending cessation of LIBOR at the end of 2021 and its proposed replacement

Article

Ropes & Gray LLP | USA, United Kingdom, European Union | 11 Feb 2019

Senior Managers and Certification Regime: Major changes on the horizon

From 9 December 2019, all FCA solo regulated firms, as well as EEA and third country branches will be subject to the Senior Managers and

Article

Ropes & Gray LLP | USA | 7 Feb 2019

IRS Makes Cryptocurrency a Compliance Priority

The Internal Revenue Service (IRS) and other global taxing authorities are continuing to focus on bringing taxpayers who hold cryptocurrencies into

Article

Ropes & Gray LLP | United Kingdom | 13 Dec 2018

U.K. financial regulator flags deficiencies in firms’ cyber practices

A review of the U.K. Asset management and wholesale banking sectors by the Financial Conduct Authority (“FCA”) has found that regulated firms

Article

Ropes & Gray LLP | United Kingdom | 4 Oct 2018

U.K. financial regulator issues £16.4 million fine for cyber fraud and it’s not even GDPR

The U.K. Financial Conduct Authority ("FCA") on Monday (1 October 2018) fined Tesco Personal Finance plc ("Tesco Bank") £16.4 million for its failings

Article

Ropes & Gray LLP | USA | 17 Apr 2018

New York Fed’s New Benchmarks May Provide Further Guidance on LIBOR Phase-Out

As reported in a previous alert, the UK Financial Conduct Authority (FCA) announced on July 27, 2017 that, by 2021, it intends to replace the London

Article

Ropes & Gray LLP | United Kingdom, European Union | 8 Nov 2017

Changing status of EU local authorities under MiFID II

Asset managers located inside and outside the European Union ("EU") should be aware of the changing regulatory status of EU local authorities, and

Article

Ropes & Gray LLP | USA, United Kingdom | 14 Aug 2017

Investment Management Update: June - July 2017

On July 18, 2017, the SEC's Division of Investment Management posted Investment Company Reporting Modernization FAQs to its website, containing FAQs

Article

Ropes & Gray LLP | United Kingdom | 4 Jul 2017

FCA Publishes Final Policy Statement on MIFID II Implementation

The Financial Conduct Authority (“FCA”) has published its final policy statement on implementation of the revised EU Markets in Financial Instruments

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