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Clifford Chance

Tagged: 'Banking & securities regulation'

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FSA Update - 20 December 2011

20 December 2011


FSA Update is a weekly alerter providing views on the publications issued by the FSA during the last week. It provides a quick way to keep up to speed with what is going on at the FSA and is particularly aimed at lawyers who do not deal with FSA rules every day...

A Year-end Retrospective on Suitability: Back to Basics

23 December 2011


Looking back at 2011, no one would deny that the Financial Services Authority has made significant inroads in delivering on its promise to intervene in retail (including wealth management) markets to prevent consumer detriment and secure redress for consumers....

A decade of experience with the money laundering offence

29 December 2011


On 14 December 2011, the tenth anniversary of the entry into force of specific money laundering prohibitions in the Dutch Criminal Code ("DCC") was marked. Just two weeks before the conversion to the euro a new, broadly defined offence was implemented...

Retail Product Development & Governance: is your process in place?

22 November 2011


The FSA continues its review of the retail structured product market with the release this month of its paper “Retail Product Development & Governance – Structured Products Review”. It is clear that the FSA’s theme of product intervention is here to stay –...

Market Abuse: European Commission proposes new EU regime

20 October 2011


The European Commission has now published its formal legislative proposals for a new Market Abuse Regulation (MAR) and a new Market Abuse Directive (MAD2) to replace the 2003 Market Abuse Directive (MAD). The new Regulation seeks to create a single, directly...

CISADA Update: Reporting Requirements

6 October 2011


On October 5, 2011, the US Treasury Department issued a final rule implementing the US correspondent account provision of the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010 ("CISADA"). The final rule only lightly modifies the...