07/30/2021
A long sentence for Tong would raise fears that courts in the financial hub will strictly interpret the security law, which outlaws secession, subversion, terrorism and colluding with foreign forces.
07/30/2021
The European Commission's confirmation that SFDR does apply to these Non-EU AIFMs cannot come as a surprise
07/30/2021
The consultation followed the UK Listing Review, which had noted that this presumption of suspension is a significant deterrent to the growth of the SPAC market in the UK.
07/30/2021
As is the case with statutory notices currently made under Executive Procedures, the FCA will permit (and not disclose to the subject of the notice) communications between staff recommending that action be taken,
07/30/2021
We believe that it is important to acknowledge that China’s version of capitalism and opening up of capital markets will look very different to the models in the West.
07/30/2021
The rule’s parameters are fully discussed in the Court of Appeal’s judgment
07/29/2021
It has also published additional draft implementing legislation and additional guidance notes to help businesses prepare.
07/29/2021
The AP’s fine comes after it concluded an investigation into the measures TikTok has in place to protect the privacy of children.
07/29/2021
This will give greater responsibility for decisions to senior members of FCA staff close to the matters.
07/29/2021
This may be due the general level of acceptance by staff that pay cuts were unavoidable given the unprecedented circumstances.
07/29/2021
The remainder of this note focuses on the specific effect of the Act on investment funds.
07/29/2021
The planned amendments to the MLRs 2017 by virtue of the SI are either “time-sensitive” or “relatively minor” and were proposals for change that were already in development.
07/29/2021
As this bill progresses through the Irish legislative process, we will provide further updates on any developments in relation to this individual accountability framework.
07/29/2021
Interestingly, the rules relating to marketing by third country AIFMs and registered AIFMs are also included in some of the responses.
07/28/2021
Newgate Compliance (an Ocorian owned company) Managing Director, Traci Pham and Senior Consultant, Jay Pyne summarise the key points and what firms can do to plan ahead.
07/28/2021
The former will be of particular interest to mid-sized firms forecasting total assets in excess of £15bn
07/28/2021
In this Legal Update, we highlight key aspects of the Draft Guidelines and takeaways for AIs considering how to approach these new proposals in Hong Kong.
07/28/2021
The European Union Agency for the Cooperation of Energy Regulators (ACER) has published the 6th edition of its guidance on the application of the Regulation on wholesale energy market integrity
07/28/2021
In order to increase TISEA's competitive position in respect of bonds issued under programmes, lifetime fees will be charged which will vary according to specific circumstances.
07/28/2021
The CBI has made a number of key changes to Chapter 6 on 'Governance', placing the main focus on the board's responsibility in ensuring effective governance and AML / CFT compliance.