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Brexit - a possible UK exit from the EU
In the UK, the General Election is a few days away and with it is the prospect of a Referendum on the UK's membership of the European Union (EU) by the …
Cybersecurity - managing a crisis in the digital era - Part 2
Information security and system resilience are strategic issues for every business, with media reports of security breaches in businesses, government …
UK: Proposed FCA Technical Notes on closed-ended investment companies
You would be forgiven if the Financial Conduct Authority ("FCA")'s rather plainly titled 'Primary Market Bulletin No. 11' passed you by in the lead up to …
The EU publishes amended guidance on financial sanctions
The Council of the European Union recently published a revised version of the EU Best Practices for the effective implementation of restrictive …
Cybersecurity – managing a crisis in the digital era
Information security and system resilience are strategic issues for every business, with media reports of security breaches in businesses, government …
Assessing and enhancing the legal and contractual aspects of CASS compliance
In the years since the Lehmann collapse there is no doubt that firms have been heavily focussed on CASS compliance, particularly on operational detail …
Market abuse update - April 2015
2014 was marked by record fines for benchmark manipulation globally, criminal prosecutions for insider trading and market manipulation, and the first …
Hong Kong court dismisses investor's counterclaim against bank for mis-selling of financial products
The Court of First Instance has recently handed down its judgment in DBS Bank (Hong Kong) Limited v Sit Pan Jit (HCA 382/2009), which concerned a …
Iran sanctions - US and EU announce framework agreement including proposals to suspend sanctions
On April 2, 2015 representatives from the US, EU and Iran announced that, following extensive negotiations, the "P5+1" (China, France, Germany, Russia, …
UK: FCA and HM Treasury publish approach to UK implementation of MIFID II
The FCA and HM Treasury have published the first set of papers on the UK implementation of MiFID II: FCA discussion paper "Developing our approach to …
The new market misconduct enforcement regime in Singapore - and a brief comparison with the position in Hong Kong
From 17 March 2015 onward, all market misconduct offences (such as insider trading and market manipulation under Part XII of the Securities and Futures …
UK: Concurrent competition powers for the Financial Conduct Authority and Payment Systems Regulator
On 1 April 2015 the Financial Conduct Authority (FCA) obtained new concurrent competition powers under the Competition Act 1998 (CA98) and the Enterprise …
Showing 1,320 out of 1,844 results
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