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Analysis Compliance

PRO Compliance | Netherlands | 7 Jul 2020

Dutch credit rating agency appeals data access fine

The Dutch data authority has fined a credit rating agency over its failure to make customer information easily accessible – but the agency has already appealed against the penalty.

Hogan Lovells | European Union, United Kingdom | 6 Apr 2020

FIG Bulletin 6 April 2020

On 3 April 2020, the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) published a joint statement on their expectations…

Cadwalader Wickersham & Taft LLP | USA | 28 Jan 2020

SEC Office of Credit Ratings Highlights Annual Findings on NRSROs

The SEC Office of Credit Ratings ("OCR") highlighted findings from its 2019 Examinations of Nationally Recognized Statistical Rating Organizations…

Shearman & Sterling LLP | European Union | 13 Dec 2019

Proposed EU Procedural Rules for Penalties Imposed on Third-Country CCPs, Trade Repositories and Credit Rating Agencies

The European Securities and Markets Authority has launched a consultation on proposed procedural rules for penalties imposed on third-country CCPs…

Loyens & Loeff | European Union, United Kingdom, USA | 21 Apr 2019

Financial Regulatory News Updates February 2019

Banks suspected of European government bonds cartel The European Commission informed eight banks of its preliminary view that they infringed the…

Martelli McKegg Lawyers | New Zealand | 11 Apr 2019

An Alternative to Bankruptcy

When a debtor has multiple creditors, often it seems as if there is no alternative but to throw in the towel and file for bankruptcy. Bankruptcy does…

Eurofast | Montenegro | 27 Mar 2019

Standard & Poors confirmed the stable outlook for Montenegro

The credit rating Agency ''Standard & Poors'' confirmed in its new Report that Montenegro has a stable B+/B credit rating. The growth of the…

Cooley LLP | USA | 25 Feb 2019

In no-action letters, staff looks at Rule 14a-8(i)(7) exception and executive comp

In October last year, Corp Fin issued a new staff legal bulletin on shareholder proposals, 14J, that examined the exception under Rule 14a-8(i)(7)…

Schoenherr | Bulgaria | 17 Nov 2018

Bulgaria: New legal framework for repo transactions and derivatives with pension funds as of 18 November 2018

There are various types of private Social Security funds (фондове за социално осигуряване) under Bulgarian law depending on the Social Security risks…

Cowell Clarke | Australia | 2 Nov 2018

Say goodbye to unfair car loans

ASIC’s ban on flex commissions commences on 1 November 2019. This means that lenders and intermediaries are prohibited from providing flex commissions…
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