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537 results found

Article

DLA Piper | USA | 7 Jun 2019

Regulators’ mood music keeps a steady beat

Tuesday’s speech by FSB chairman (and NY Fed vice chairman) Randal Quarles emphasised everything we’d heard before from regulators about IBOR

Article

Katten Muchin Rosenman LLP | USA, United Kingdom, European Union | 7 Apr 2019

UK-Based Branch of Non-US-Based Financial Institution Authorized by CFTC Staff Temporarily to Operate Without IB Registration in Light of Reorganization of Business in Light of Brexit

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight granted a temporary exemption from introducing broker

Article

Katten Muchin Rosenman LLP | USA | 31 Mar 2019

Two Global Investment Banking Groups Substantially Fined by UK FCA for Alleged Reporting Breakdowns

UBS AG and Goldman Sachs International were fined a collective £61.3 million (approximately US $80 million) by the UK Financial Conduct Authority for

Article

White & Case LLP | USA | 29 Mar 2019

The Delta Report - Derivatives Newsletter: March 2019

BMR continues to develop its impact in the different industry sectors that rely on benchmarks, e.g., derivatives, capital markets, banking, etc., as

Article

Allen & Overy LLP | USA, United Kingdom, European Union | 19 Mar 2019

Key Regulatory Topics: Weekly Update 8 March - 14 March 2019

On 7 February, ordinance no. 2019-75 relating to the preparatory measures in connection with the United-Kingdom’s withdrawal from the European Union

Article

Dechert LLP | USA, United Kingdom, European Union | 11 Mar 2019

Investment Funds Update - Europe, United Kingdom- issue 11,2019.

The FCA has published a series of guidance to assist regulated firms in finalizing their preparations for Brexit, particularly in the event of a

Article

Macfarlanes LLP | USA, United Kingdom, European Union | 7 Mar 2019

Brexit update: cross-country recognition of derivative trading and infrastructure

On a departure of the United Kingdom from the European Union on 29 March 2019 without a transition agreement (a hard Brexit), UK entities would

Article

Allen & Overy LLP | USA, United Kingdom, European Union | 4 Mar 2019

Key Regulatory Topics: Weekly Updated 22 February 2019 - 28 February 2019

On 28 February, the Financial Services Contracts (Transitional and Saving Provision) (EU Exit) Regulations 2019 were made, and an explanatory

Article

Katten Muchin Rosenman LLP | USA, United Kingdom, European Union | 3 Mar 2019

US and UK Regulators Pledge No Traffic Stops in Derivative Markets No Matter What Road Brexit Takes

The Bank of England, the UK Financial Conduct Authority, and the US Commodity Futures Commission agreed to take measures to ensure that derivatives

Article

Katten Muchin Rosenman LLP | USA, United Kingdom, European Union | 1 Mar 2019

Statement Published on Post-Brexit Continuity of Derivatives Trading and Clearing Measures

On February 25, the Bank of England (BoE), the UK Financial Conduct Authority (FCA) and the US Commodity Futures Trading Commission published a joint

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