Tag: Regulation and compliance

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Access the June issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers. Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection with SEC … Continue Reading

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Access the May issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers. Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection with SEC … Continue Reading

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Access the April issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers. Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection with SEC … Continue Reading

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Access the March issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers. Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection with SEC … Continue Reading

Pension Schemes Act 2021: Increased potential for criminal liability and how companies can mitigate this risk

The Pension Schemes Act 2021 (the Act) has introduced broad new criminal offences going far beyond the ‘reckless’ and ‘unscrupulous’ behaviour which the offences were originally envisaged to deter[1]. Whilst the Pensions Regulator (TPR) has today released a draft policy on how it will use its new criminal sanction powers (the TPR policy), some uncertainty … Continue Reading

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Access the February  issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers. Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection with SEC … Continue Reading

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Access the January issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers. Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection with SEC … Continue Reading

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Access the December issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers. Glen Barrentine is Of Counsel in the Denver office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection with … Continue Reading

FCA updates indicative list of financial instruments subject to notification requirements

On 1 January 2021, the FCA published an updated indicative list of financial instruments that are subject to notification requirements by virtue of section 89F(1)(b)(iii) of the Financial Services and Markets Act 2000 and according to DTR 5.3.1R. The FCA reviews this list on an ad-hoc basis after taking into account developments on financial markets.… Continue Reading

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Access the November issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers. Glen Barrentine is Of Counsel in the New York office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in … Continue Reading

FCA Portfolio letter – credit reference agencies and credit information service providers

On 20 November 2020, the FCA published a letter it had sent to the boards of directors of firms that have been assigned to the credit reference agencies (CRAs) and credit information service providers (CISPs) portfolio. The purpose of the letter is to: Set out the FCA’s view of the key risks of harm CRAs … Continue Reading

IFSB publishes FAQs on four of its standards

On 23 November 2020, the Islamic Financial Services Board (IFSB) published its third set of FAQs on the following standards: Guiding Principles on Corporate Governance for Institutions Offering Only Islamic Financial Services (IIFS) (IFSB-3). Guiding Principles on Governance for Islamic Collective Investment Schemes (ICIS)” (IFSB-6). Standard on Risk Management for Takāful Undertakings (IFSB-14). Technical Note … Continue Reading

Leaders’ Declaration – G20 Riyadh Summit

On 22 November 2020, the G20 leaders issued a declaration following their summit in Riyadh on 21 – 22 November 2020. Paragraphs 16 to 18 of the declaration cover financial sector issues. Key points include: The pandemic has reaffirmed the need to enhance global cross-border payment arrangements to facilitate cheaper, faster, more inclusive and more … Continue Reading

ACER updates guidance on REMIT

On 18 November 2020, the Agency for the Cooperation of Energy Regulators (ACER) published the fifth edition of its guidance on the application of Regulation (EU) No 1227/2011 on wholesale energy market integrity and transparency (REMIT). In this edition, ACER provides more detailed guidance concerning the definition of information and inside information under REMIT. In … Continue Reading

Commission Interpretative Communication on the preparation, audit and publication of the financial statements included in the annual financial reports drawn-up in accordance with Commission Delegated Regulation (EU) 2019/815 on the ESEF

On 6 November 2020, the European Commission published an Interpretative Communication on the preparation, audit and publication of the financial statements included in the annual financial reports drawn-up in accordance with Commission Delegated Regulation (EU) 2019/815 on the European Single Electronic Format (ESEF) together with annexes. The Interpretative Communication deals with the following questions: Are … Continue Reading

ESMA publishes new Q&As on product governance

On 6 November 2020, the European Securities and Markets Authority (ESMA) updated its Q&As on MiFID II and MiFIR investor protection and intermediaries’ topics by adding three new Q&As on product governance (section 16 of the Q&As). The new Q&As provide answers to the following questions: How should firms manufacturing financial instruments ensure that these … Continue Reading

ESMA consults on MiFID II / MiFIR obligations on market data

On 6 November 2020, the European Securities and Markets Authority (ESMA) issued a consultation paper seeking input from market participants in relation to its draft guidelines on the MiFID II / MiFIR obligations on market data. The consultation paper follows ESMA’s previous work in the area of market data including a report in December 2019 … Continue Reading

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Access the October issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers Glen Barrentine is Of Counsel in the New York office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in … Continue Reading

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Access the September  issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers Glen Barrentine is Of Counsel in the New York office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in … Continue Reading

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Access the August issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers. Glen Barrentine is Of Counsel in the New York office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection … Continue Reading

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Access the July issue for an overview of FINRA and SEC regulatory developments of interest to broker-dealers. Glen Barrentine is Of Counsel in the New York office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in … Continue Reading

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Glen Barrentine is Of Counsel in the New York office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection with SEC and FINRA enforcement proceedings and other contentious regulatory inquiries, purchases and sales, and the … Continue Reading

FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know

Glen Barrentine is Of Counsel in the New York office of Norton Rose Fulbright. His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. Glen frequency represents clients in connection with SEC and FINRA enforcement proceedings and other contentious regulatory inquiries, purchases and sales, and the … Continue Reading
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