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Burges Salmon LLP | United Kingdom | 10 Jun 2019

Financial services regulation: updates for FCA and PRA regulated firms

Both the FCA and PRA (the 'Authorities') issued final notices to R. Raphael & Sons plc fining the bank £777,100 and £1,121,512 respectively. The


Piper Alderman | Australia | 6 Jun 2019

ASIC updates crypto-asset guidance - it's one small step for man...

ASIC Updates crypto-asset guidance - it's one small step for man... On Thursday 30 May 2019, ASIC updated its guidance on initial coin offerings


Katten Muchin Rosenman LLP | USA, United Kingdom, European Union | 5 Apr 2019

FCA and SEC Sign Updated Memoranda of Understanding

On March 29, the UK Financial Conduct Authority (FCA) issued a press release announcing that it has signed two updated memoranda of understanding


Buckley LLP | USA, European Union | 3 Apr 2019

SEC, UK FCA sign updated supervisory cooperation arrangements

On March 29, the SEC and the United Kingdom (UK) Financial Conduct Authority (FCA) signed two updated Memoranda of Understanding (MOU) to continue


McCarthy Tétrault LLP | USA, Australia, United Kingdom, etc. | 25 Mar 2019

Regulation of Online Advisors: An International Overview

The regulation of online advisors, often referred to as “robo-advisors”, continues to be a hot topic in the financial services industry. Online


Womble Bond Dickinson (UK) LLP | United Kingdom | 7 Feb 2019

Whistleblowing: what employers need to know in a nutshell?

Whistleblowing is an increasingly important and complex topic. In this note, we explain and simplify some of the key issues that companies need to be


Osler Hoskin & Harcourt LLP | Canada | 1 Feb 2019

OSC seeks to reduce regulatory burden in step with Ontario Red Tape Initiative

The Ontario Securities Commission (“OSC”) announced on January 14, 2019 that its Burden Reduction Task Force (“Task Force”), in coordination with the


Winston & Strawn LLP | USA, United Kingdom | 28 Jan 2019

Financial Services Update, Vol. 14, Issue 4

Last week, the Pennsylvania Department of Banking and Securities (“DoBS”) released guidance (“Guidance”) on the applicability of Pennsylvania’s Money


Katten Muchin Rosenman LLP | USA | 27 Jan 2019

UK Financial Conduct Authority Proposes Guidance Regarding Cryptoassets; Says Cryptocurrencies and Utility Tokens Generally Outside Regulatory Perimeter

In a consultation paper proposing guidance on cryptoassets, the UK Financial Conduct Authority indicated that, while security tokens fall within its


Freshfields Bruckhaus Deringer | USA, United Kingdom | 16 Jan 2019

SEC brings charges in cybersecurity case against hackers of material non-public information

Yesterday, the Securities and Exchange Commission (SEC) announced charges against nine defendants for participating in a scheme to hack into the SEC’s

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