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The week at the UK regulators - 20 May 2013
21 May 2013
Publication
This week at the UK regulators is a weekly alerter providing views on the publications issued by the Financial Conduct Authority and the Prudential Regulation Authority during the last week. It provides a quick way to keep up to speed with what is going on in...
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SFC proposes to amend Professional Investor Regime and Client Agreement Requirements
21 May 2013
Publication
On 15 May 2013, the Securities and Futures Commission (SFC) published a Consultation Paper on the Proposed Amendments to the Professional Investor Regime and the Client Agreements Requirements (Consultation Paper).
Amongst other things, the SFC revisits the...
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SEC Proposes U.S. Regulatory Regime for Cross-Border Securities-Based Swap Activities
16 May 2013
Publication
The U.S. Securities and Exchange Commission ("SEC") has published for public comment proposed rules regarding the application of U.S. laws and regulations to cross-border securities-based swaps. The proposal includes a substituted compliance framework...
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Russia Update: Legal and market developments in Russia - Winter/Spring 2013
16 May 2013
Publication
We launched Russia Update last year to provide clients with a single guide to major legal and market developments in Russia. In this periodical publication, we will alert you to key legal changes as well as news highlights from the business sectors which...
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This week at the UK regulators - 13 May 2013
13 May 2013
Publication
This week at the UK regulators is a weekly alerter providing views on the publications issued by the Financial Conduct Authority and the Prudential Regulation Authority during the last week. It provides a quick way to keep up to speed with what is going on in...
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This week at the UK regulators - 7 May 2013
7 May 2013
Publication
This week at the UK regulators is a weekly alerter providing views on the publications issued by the Financial Conduct Authority and the Prudential Regulation Authority during the last week. It provides a quick way to keep up to speed with what is going on in...
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CFTC Eases Compliance Burdens for Certain Inter-Affiliate Swaps
29 April 2013
Publication
Counterparties to inter-affiliate swaps may now qualify for recently issued regulatory relief from mandatory clearing or reporting requirements. On April 1, 2013, the US Commodity Futures Trading Commission ("CFTC") approved Regulation 50.52, which...
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This week at the UK regulators - 29 April 2013
29 April 2013
Publication
This week at the UK regulators is a weekly alerter providing views on the publications issued by the Financial Conduct Authority and the Prudential Regulation Authority during the last week. It provides a quick way to keep up to speed with what is going on in...
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Recent and potential changes to the Japanese Insider Trading Regulations [Japanese version]
26 April 2013
Publication
As part of the amendments to the Financial Instruments and Exchange Act (FIEA) promulgated on 12 September last year (the Amendment) revisions were made to the provisions of the FIEA regarding insider trading and the related monetary penalty (kachoukin) system...
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Recent and potential changes to the Japanese Insider Trading Regulations
26 April 2013
Publication
As part of the amendments to the Financial Instruments and Exchange Act (FIEA) promulgated on 12 September last year (the Amendment) revisions were made to the provisions of the FIEA regarding insider trading and the related monetary penalty (kachoukin) system...