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Market abuse: Advocate General opinion to ECJ on when information about proposed resignation of CEO of a German issuer becomes "precise"
On 21 March Advocate General Mengozzi delivered his opinion in the case of Markus Geltl v Daimler AG [C-19/11], which has been referred to the European …
The FPC's new tools
The interim Financial Policy Committee (FPC) has recommended that the following macro-prudential tools should be made available to the statutory FPC in …
Duties of brokers liquidating positions on behalf of clients in state of default
In the current economic climate, brokers will find the decision of the High Court in Euroption Strategic Fund Limited v Skandinaviska Enskilda Banker AB …
Regulating bidding in emissions allowances auctions: FSA proposals on authorisation, standards and market abuse
Auctions of EU Emissions Allowances may begin as early as July 2012 on the central common European auction platform. The regulatory framework …
A substantial likelihood that SEC policy of "no admission" settlements will continue
In a preliminary opinion handed down yesterday, the US Court of Appeals (2nd Circuit) granted the SEC's application for a stay of district …
EMIR: The race towards EU regulation of OTC derivatives, central counterparties and trade repositories is on
The race towards a pan-European "Regulation of the European Parliament and of the Council on OTC Derivatives, Central Counterparties and Trade …
FSA publishes its assessment of the most significant retail conduct risks for 2012
The FSA's Retail Conduct Risk Outlook (RCRO), published today, sets out the highest priority retail conduct risks, grouped into 15 categories. …
New French law to aggregate cash-settled securities for threshold crossing disclosure obligations
On 29 February, the French General Assembly passed a bill, known as the bill for "simplification of the law and facilitation of administrative …
The Lehman client money judgment: Supreme Court upholds Court of Appeal decision
The Supreme Court handed down its judgment yesterday in relation to the client money application relating to Lehman Brothers International (Europe) …
Welcome to our new website
Herbert Smith's Financial Services Regulation and Corporate Crime teams have today launched this new website which includes a blog, information …
Guide to anti-corruption regulation in Asia
Herbert Smith has prepared a PDF guide to complying with anti-corruption regulation in Asia for 2012/2013. The guide covers the following jurisdictions: …
Gifts and Entertainment - compliance with anti-bribery regulation in Asia
Herbert Smith has prepared a PDF guide to complying with anti-bribery regulation in Asia for 2012/2013. The guide covers the following jurisdictions: …
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