11/25/2020
Once the registration application has been completed with all of the required due diligence items, the application is then submitted online and reviewed
11/24/2020
When the FCA contacts firms in the LLM portfolio it will expect them to be able to explain actions taken in response to this letter.
11/24/2020
Taxspotters’ finely tuned antennae will be looking for signals regarding tax reliefs.
11/24/2020
The ‘outstanding’ litigation team was lauded for ‘providing significant and timely counsel in disputes’ and the real estate department recognized for its ‘experience in assisting domestic and international real estate investo
11/24/2020
The role of the Nomination Committee in the composition and maintenance of an effective Board of Directors.
11/24/2020
Navigating a divorce is almost always difficult, but add a global pandemic to the equation and the process can feel impossible.
11/24/2020
Former hedge-fund manager Michael Steinhardt says the gallery misled him during a consignment.
11/24/2020
Investors in EU-domiciled funds will not recourse to the FSCS and will have to apply to foreign compensation authorities to get their money back if a product blows up after Brexit.
11/24/2020
Sooner or later, organizations would reflect this in their legal/compliance departments’ scope and structure.
11/24/2020
ESMA publishes a report on funds' resilience to future shocks
This report comes as a result of a coordinated supervisory exercise performed alongside national competent authorities (NCAs), following a recommendation issued by the European Systemic Risk Board (ESRB) in May.
11/24/2020
Virtual Asset Service Providers ("VASPs") to be 'designated persons': AML/CFT requirements will apply to a range of VASPs businesses for the first time.
11/24/2020
The Investment Association (IA) has published a report produced by the Asset Management Taskforce, entitled "Investing with Purpose: placing stewardship at the heart of sustainable growth".
11/24/2020
The bank has remediated the deficiencies that led to this action.
11/23/2020
In order to benefit from the TPR, such Luxembourg entities are invited to notify the FCA of their intention to do so. Notifications have to be submitted before 30 December 20201.
11/22/2020
The FCA has updated its webpage on questions and answers (Q&As) for firms about conduct risk during the LIBOR transition, to include the following new questions:
11/20/2020
This report highlights innovative approaches, legislative options, flexible workplace initiatives and leadership practices adopted by FTA members in order to assist administrations in their domestic considerations of where and how to improve gender balanc
11/20/2020
Firm accuses authorities of giving in to Russian pressure
11/20/2020
Four bankers with M.M. Warburg are accused of grave tax evasion through “cum-ex” transactions
11/20/2020
The inspections took place after a Dear CEO letter was issued by the Central Bank to all Firms in April 2019 (the “2019 Letter”) identifying a number of areas where Firm compliance with obligations under the F&P Regime was found to be lack
11/20/2020
In the past 24 months, Baker Tilly also expanded into Texas