Searching Content indexed under Finance and Banking by Herbert Smith Freehills ordered by Published Date Descending.
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Brexit Asset Management Update (October 4, 2019)
The FCA has updated the draft transitional direction and draft prudential transitional direction (with explanatory note) under its Temporary Transitional Powers (TTP). Key updates include
European Union
15 Oct 2019
Be On The Mark – APAC Central Banks Release Study Of Benchmark Reform Implications
On 24 September 2019, the Executives' Meeting of East Asia-Pacific Central Banks (EMEAP) published its study on the implications of benchmark
10 Oct 2019
Monthly Private Wealth Legal Developments – APAC
Welcome to Herbert Smith Freehills' new monthly private wealth industry updates in Asia.
3 Oct 2019
FCA Review Of MiFID II Research Unbundling Rules
MiFID II overhauled the way in which firms pay for, price and provide research – in large part, aiming to reduce conflicts of interests and ensure that firms are acting in the best interests
30 Sep 2019
FSCA Levies Record R1.5 Billion Fine Against Steinhoff International Holdings N.V. For False, Misleading And Deceptive Statements To The Market
On 12 September 2019, the South African Financial Sector Conduct Authority (FSCA) announced the conclusion of its investigations into Steinhoff International Holdings N.V. (Steinhoff).
South Africa
25 Sep 2019
Herbert Smith Freehills Launches Updated Guide To Cross-Border Financial Services Investigations
Financial services firms conduct their business activities across markets and borders, often performing services and holding data in locations
24 Sep 2019
FCA Speech On Brexit Preparedness
On 16 September, the FCA published a speech, delivered at Bloomberg, on "Preparing for Brexit in financial services: the state of play".
European Union
23 Sep 2019
FATF And APG Publish Long-Awaited Mutual Evaluation Report On Hong Kong
Following the Financial Action Task Force (FATF) and the Asia/Pacific Group on Money Laundering's inspection of Hong Kong in October and November 2018, their much anticipated
Hong Kong
10 Sep 2019
Hong Kong SFC Highlights Inadequacies And Deficiencies In Fund Managers' Liquidity Risk Management Practices
The Securities and Futures Commission (SFC) has recently issued a circular on the outcome of its survey and inspection of selected fund managers regarding their liquidity risk management practices
Hong Kong
6 Sep 2019
Hong Kong SFC Launches Key Risk Indicator Platform To Enhance Risk Monitoring
Last Friday, the Securities and Futures Commission (SFC) issued a circular to announce the launch of a key risk indicator (KRI) platform to collect and analyse KRI data from selected licensed
Hong Kong
4 Sep 2019
The Month Ahead In Financial Services Regulatory Developments… - August 30, 2019
In this blog post, we round-up forthcoming developments in the UK and at EU and International levels in financial services regulation which are expected for September 2019.
2 Sep 2019
No If, No But – Will An Arbitration Agreement Always Trump A Winding-Up Petition?
In But Ka Chon v Interactive Brokers LLC [2019] HKCA 873, the Hong Kong Court of Appeal dismissed an appeal to set aside a statutory demand arising out of online forex futures trading debts.
Hong Kong
21 Aug 2019
The Month Ahead In Financial Services Regulatory Developments...
In this blog post, we round-up forthcoming developments in the UK and at EU and International levels in financial services regulation for August 2019.
19 Aug 2019
Royal Commission Into The Financial Services Industry In Australia: Lessons For The UK?
As financial institutions in Australia face into the culture and conduct storm that has engulfed the UK for the past decade.
16 Aug 2019
HMT Financial Services Future Regulatory Framework Review: Call For Evidence On Regulatory Coordination
HM Treasury ("HMT") has launched the first phase (a call for evidence on regulatory coordination) in its Future Regulatory Framework Review ("the Review"),
9 Aug 2019
ESMA Publishes Report On Licensing Of FinTech Business Models
ESMA prepared the Report using the results from two surveys sent to NCAs. The first (carried out in January 2018) focused on collecting information from NCAs about the number and nature of regulated and unregulated FinTech firms
8 Aug 2019
Hong Kong Stock Exchange Revises Listing Rules To Tighten Restrictions On Backdoor Listings
The Hong Kong Stock Exchange has finalised its proposed amendments to the Listing Rules to tighten restrictions on backdoor listings and continuing listing criteria.
Hong Kong
7 Aug 2019
Regulators Extend Transitional Direction Powers In Line With Brexit Delay
The Financial Conduct Authority ("FCA"), Bank of England ("BoE") and Prudential Regulation Authority ("PRA") yesterday announced measures to extend certain UK-specific
31 Jul 2019
The FCA Publishes Proposals To Ban Sale Of Crypto-Derivatives To Retail Consumers
The Financial Conduct Authority ("FCA") has published proposals to ban the sale of derivatives or exchange traded notes ("ETNs")
30 Jul 2019
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