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109 results found

Article

K&L Gates | Australia | 26 Sep 2018

ASIC Extends Relief for Foreign Financial Services Providers

As expected, on 21 September 2018, the Australian Securities and Investments Commission (ASIC) issued ASIC Corporations (Amendment) Instrument

Article

K&L Gates | USA | 29 Jun 2018

Supreme Court Offers Others a Chance for a Second Bite at the Apple in Federal Administrative Adjudication Proceedings - But the Clock is Ticking

On June 21, 2018 the U.S. Supreme Court ruled in Lucia et al. V. Securities and Exchange Commission, that the appointment of certain

Article

K&L Gates | USA | 28 Aug 2017

Significant New Russia, Iran and North Korea Sanctions Legislation Signed Into Law

On August 2, 2017, President Trump signed into law the Countering America’s Adversaries Through Sanctions Act (the “Act”). Passed by overwhelming

Article

K&L Gates | Australia | 29 Jun 2017

Financial Product Design and Distribution Obligations

Late last year the Australian Government released a paper outlining a proposal to implement a range of design and distribution obligations on the

Article

K&L Gates | USA | 27 Jun 2017

The Circuits are Split: The Ambiguity of a Regulation May Not ‘Foreclose a Finding of Scienter’ in False Claims Act Cases

A split now exists among the circuit courts as to whether a Defendant’s assertion of a “reasonable interpretation defense” precludes a finding of a

Article

K&L Gates | Global | 15 Jun 2017

Blockchain Energizer Vol. 6

Earlier this month, blockchain technology company BTL Group LTD (“BTL”) announced the successful completion of a European energy trading pilot. The

Article

K&L Gates | USA | 14 Jun 2017

Regulation CC Amendments Reallocate Risks of Remote Deposit

More than three years after proposing amendments to Regulation CC to add new indemnities for remotely deposited checks, new warranties for electronic

Article

K&L Gates | Australia | 1 Jun 2017

Mortgage broker remuneration reforms - what you need to know

Concerns have been raised by the Australian Government in recent times in relation to the effect of current remuneration structures in the mortgage

Article

K&L Gates | Global | 1 Jun 2017

Blockchain Energizer Vol. 5

Blockchain technology is coming to natural gas trading. Canadian stock exchange operator TMX Group Limited recently announced that it plans to use a

Article

K&L Gates | European Union | 30 May 2017

European Securities and Markets Authority identifies RegTech risks

A senior official at the European Securities and Markets Authority (ESMA) has given a speech on “The Adoption of RegTech within the Financial

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