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Showing 12 out of 35 results
European Commission forges ahead with bonus cap for all CRDIV firms
The European Commission has published proposed amendments to the remuneration requirements of CRDIV which would have the effect of extending the cap on …
UK: FCA Asset Management Market Study - Interim Report
The FCA has published its Asset Management Market Study Interim Report, which can be accessed here, with annexes. The FCA sets down a clear marker as to …
EU General Data Protection Regulation: Practical Steps for Employers
The General Data Protection Regulation ("GDPR") aims to harmonise data protection procedures and enforcement across the European Union. It will apply to …
Corporate Crime Monthly Update October 2016
Welcome to the October 2016 edition of our corporate crime update - our round up of developments in relation to corruption, money laundering, …
Cybersecurity in Hong Kong: SFC’s review of brokers’ internet and mobile trading systems
On 13 October 2016, the Securities and Futures Commission (SFC) announced it had issued a circular launching a cybersecurity review with a focus on …
Investor protection in the spotlight: Proposals to significantly enhance the Financial Dispute Resolution Scheme
The Financial Dispute Resolution Centre (FDRC), which since June 2012 has been providing alternative dispute resolution services to financial …
UK: FCA and PRA final rules on regulatory references: strengthening accountability in banking and insurance
The FCA and PRA have published new policy statements relating to regulatory references under the new accountability regimes for banks and insurers, which …
Publication of the Criminal Finances Bill 2016-17
The Criminal Finances Bill 2016-17 (the "Bill") was presented to Parliament and had its first reading in the House of Commons on Thursday 13th October. …
#MAR_bitesize
Managers' Transactions – Restrictions and Notification Requirements As was the case under the previous market abuse regime, MAR imposes various …
New SFC guidance on client agreement requirements
In the light of the queries raised by Herbert Smith Freehills following industry consultation, the Securities and Futures Commission (SFC) has issued …
Shenzhen-Hong Kong Stock Connect targeted for launch around November 2016
Following from the launch of Shanghai-Hong Kong Stock Connect (Shanghai-HK SC) in November 2014, the Securities and Futures Commission and the China …
Hong Kong OTC derivatives update: Are you ready for 1 September 2016?
On 1 September 2016, the first phase of mandatory clearing of over-the-counter (OTC) derivative transactions (Phase 1 Clearing) will be implemented. The …
Showing 12 out of 35 results
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