Financial Institutions Banking

Published between:
Published Title Organization
Oct
25
2016
 European Securities and Market Authority Guidance on Market Soundings Squire Patton Boggs (US) LLP
Oct
24
2016
 Bridging the Week: October 17 to 21 and October 24, 2016 (Floor Trader Registration; Source Code; Soliciting From Abroad; Liability May Not Equal Fines) [VIDEO] Katten
Oct
23
2016
 ESMA Publishes Guidelines on Remuneration Practices Under UCITS and AIFMD Katten
Oct
22
2016
 SEC Division of Corporation Finance Issues Five Additional C&DIs Relating to Pay Ratio Disclosure Rule Katten
Oct
22
2016
 ESMA Updates UCITS Q&A Katten
Oct
21
2016
 SEC Approves FINRA’s Capital Acquisition Broker Rules Katten
Oct
21
2016
 CFTC Addresses Application of MMF No-Action Letter Katten
Oct
21
2016
 SEC Approves FINRA’s TRACE Amendments for CMO Transactions Katten
Oct
21
2016
 SEC Approves FINRA’s TRACE Amendments for US Treasury Securities Katten
Oct
21
2016
 CFTC Exempts Certain Southwest Power Pool Transactions Katten
Oct
21
2016
 DOL Fiduciary Rule Compliance Tips Michael Best & Friedrich LLP
Oct
21
2016
 Federal Reserve Board Seeks New Limits on Bank Activities in Physical Commodities WilmerHale
Oct
20
2016
 Tidal Wave of Class Actions Continues to Surge Across Australia Squire Patton Boggs (US) LLP
Oct
20
2016
 U.S. Futures Exchanges Disciplinary Actions Report - September 2016 Bracewell LLP
Oct
19
2016
 Fund Restructurings: How to Navigate a Conflict-Rich Environment Proskauer Rose LLP
Oct
19
2016
 New UAE Mutual Funds Regulations Herald Critical Changes for Foreign Managers K&L Gates LLP
Oct
19
2016
 Federal Disaster Assistance and SBA Loan deadlines extended to Nov. 14, 2016 Bracewell LLP
Oct
18
2016
 Foreign Listed Stock Index Futures and Options Approvals Chart: October 17,2016 Katten
Oct
17
2016
 SEC Adopts Rules for Reporting Separately Managed Accounts on Form ADV and Revised Recordkeeping Rules K&L Gates LLP
Oct
17
2016
 Making Sense of Auditor Independence Issues K&L Gates LLP
Oct
17
2016
 Bridging the Week: October 10 to 14 and October 17, 2016 (Coming to the US; Cross-Border; Liquidity Management; Insider Trading Supervision) Katten
Oct
17
2016
 Consumer Financial Protection Bureau Finalizes Much Anticipated Prepaid Account Rule K&L Gates LLP
Oct
17
2016
 ESMA Publishes Final Guidelines on the Implementation of MiFID II Transaction Reporting Katten
Oct
17
2016
 G-7 Publishes Fundamental Elements of Cybersecurity for Financial Sector Covington & Burling LLP
Oct
17
2016
 ESMA Publishes Draft Guidelines on MiFID II Product Government Requirements Katten
Oct
16
2016
 European Commission Publishes G7 Fundamental Elements on Cybersecurity for the Financial Sector Katten
Oct
15
2016
 The Week Ahead in the European Parliament – October 14, 2016: Inquiry into Emission Measurements in the Automotive Sector; Committee on Civil Liberties, Justice and Home Affairs; Committee on Budgetary Control Covington & Burling LLP
Oct
15
2016
 ESMA Advice to ECON on the Application of the AIFMD Passport to Non-EU AIFMs and AIFs Katten
Oct
14
2016
 FCA Publishes Feedback Statement on Smarter Consumer Communications Katten
Oct
14
2016
 CFTC Releases Rule Enforcement Review of the New York Mercantile Exchange, Inc. and the Commodity Exchange, Inc. Katten
Oct
14
2016
 CFTC Further Extends Time-Limited Relief to SEFs for Block Trades Katten
Oct
14
2016
 CFTC Sets Phase-In De Minimis Amount Termination Date Katten
Oct
14
2016
 CFTC Proposes New Rules for Cross-Border Swaps Katten
Oct
14
2016
 “Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility Katten
Oct
13
2016
 OKD a.s Insolvency Proceedings: New World Resources’ International Investors appeal to Czech Court Squire Patton Boggs (US) LLP
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