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Senior Managers Regime - Personal Accountability in Financial Services Firms
  • Addleshaw Goddard LLP
  • United Kingdom
  • May 22 2018

In summer 2018, a policy statement and final rules are expected from the latest extension to the Senior Managers and Certification Regime (SM&CR). In

InCredit - 22 May 2018
  • Addleshaw Goddard LLP
  • United Kingdom
  • May 22 2018

The Joint Money Laundering Steering Group (JMLSG) has published revised versions of two of the sectors in Part II of its guidance on the prevention of

Regulation of financial conglomerates in Colombia after law 1870 of 2017
  • Rebeca Herrera Díaz Abogados
  • OECD, Colombia
  • May 21 2018

Consolidation process of supervisory and controlling powers of the Financial Superintendence of Colombia, SFC, the Colombian Congress issued Law 1870

With CDD and Beneficial Ownership Rule in Effect, FinCEN Continues to Clarify and Refine Rules for Financial Institutions
  • Pillsbury Winthrop Shaw Pittman LLP
  • USA
  • May 21 2018

Long awaited rules for “Customer Due Diligence Requirements for Financial Institutions” (the CDD Rules) went into effect on May 11, 2018. FinCEN has

New proposed FCA guidance on variation terms - Guidance Consultation 'Fairness of variation terms in financial services consumer contracts under the Consumer Rights Act 2015'
  • Addleshaw Goddard LLP
  • United Kingdom
  • May 21 2018

On 17 May 2018, the FCA published for consultation its proposed new guidance on Fairness of variation terms in financial services consumer contracts

Financial services, bribery and the adequate procedures defence
  • Burges Salmon LLP
  • United Kingdom
  • May 15 2018

In light of R v Skansen, financial services firms should ensure that they have the adequate procedures and the required systems and controls to

Brexit and Financial Services Firms
  • Charles Russell Speechlys LLP
  • United Kingdom, European Union
  • May 4 2018

With Britain’s exit from the EU fast approaching (March 2019), we look at the regulator’s position on Brexit, the implications for UK firms with EEA

Mortgage Investment Corporations In a Nutshell
  • AUM Law
  • Canada
  • May 3 2018

Are you using the syndicated mortgage exemption and find the related compliance obligations cumbersome? Are you contemplating creating your own pool

FSCO Seeking Feedback on Guideline for Fair Treatment of Consumers
  • McCarthy Tétrault LLP
  • Canada
  • May 2 2018

The Financial Services Commission of Ontario (“FSCO”) is soliciting feedback on its proposed Treating Financial Services Consumers Fairly Guideline

Treasury consults on Ipso Facto Insolvency Regulations
  • Gilbert + Tobin
  • Australia
  • April 30 2018

Treasury has released draft regulations and a draft declaration for public consultation. The regulations and declaration support the stay on