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537 results found

Article

Macfarlanes LLP | USA, United Kingdom, European Union | 10 Jul 2019

Investment Management Update

The Financial Conduct Authority (FCA) has confirmed that it is recognising the FX Global Code and the UK Money Markets Code, the first such codes to

Article

Katten Muchin Rosenman LLP | United Kingdom | 7 Jul 2019

UK Financial Regulator Proposes to Ban Crypto-Derivative Sales to Retail Clients; US Congressional Committee Recommends Facebook Libra Moratorium

The United Kingdom’s Financial Conduct Authority proposed to ban the marketing and sale in or from the UK to retail persons of derivatives and

Article

Allen & Overy LLP | USA, United Kingdom, European Union | 5 Jul 2019

Key Regulatory Topics: Weekly Update 21 June 2019 - 27 June 2019

On 25 June, the ECB published dinner remarks from Benoît Cœuré, Member of the Executive Board of the ECB, at the International Swaps and Derivatives

Article

White & Case LLP | USA, United Kingdom, European Union | 27 Jun 2019

No-deal Brexit: Challenges for trading venues and their participants

The date of Brexit has been delayed until (at least) October 31, 2019, but there is little sign that financial services access between the UK and the

Article

Slaughter and May | United Kingdom, European Union | 27 Jun 2019

Financial Regulation Weekly Bulletin - 27 June 2019

Major UK and European regulatory developments of interest to banks, insurers and re insurers, asset managers and other market participants

Article

Katten Muchin Rosenman LLP | United Kingdom | 23 Jun 2019

UK Regulator Fines UK Bank £45.5 Million for Failing to Disclose Suspicions of Fraud

The Financial Conduct Authority fined the Bank of Scotland plc ("BOS") £45.5 million for not telling its predecessor regulator, the Financial

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

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