Searching Content indexed under Compliance by Mayer Brown ordered by Published Date Descending.
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Onshoring The EU Securitisation Regulation – How Will It Apply In The UK In The Event Of A No-Deal Brexit?
The EU Securitisation Regulation became applicable in the UK from 1 January 2019 to all securitisations, other than securitisations existing prior to that date to the extent that they are grandfathered.
23 Aug 2019
UK Government's Economic Crime Plan – Where Are We Going?
On 12 July 2019, the UK government published its "Economic Crime Plan, 2019 to 2022" (the "Paper"), a policy paper setting out seven strategic priorities, each with action plans ("Actions")
19 Aug 2019
Working With Japanese Clients — Risk & Compliance (Video)
Working with Japanese Clients is a series of videos commenting on current trends and topics relevant to Japanese corporations.
13 Aug 2019
Notice The Details: Court Of Appeal Decision Highlights The Importance Of Strict Compliance With Contractual Notice Provisions
The Court of Appeal has handed down judgment in the case of Stobart Group Limited and another v William Stobart and another, concerning whether or not a letter written by the appellants...
9 Aug 2019
The EU Securitisation Regulation – Where Are We Now?
The EU Securitisation Regulation1 (the "Securitisation Regulation") has been applicable since 1 January 2019. The purpose of this Legal Update is to summarise the key aspects of the Securitisation
European Union
27 Jun 2019
The Impact Of The EU Securitization Regulation On US Entities
The next phase of the European Union's (the "EU") new regulatory regime for securitizations will become applicable from January 1, 2019 pursuant to Regulation (EU) 2017/2402 ...
European Union
15 Jan 2019
English Court Of Appeal Rules That SFO Not Entitled To Internal Investigation Documents
In a keenly awaited judgment, the Court of Appeal has held that documents prepared during an internal investigation are protected by litigation privilege.
11 Sep 2018
A New UK Sanctions Regulator: Establishment Of Office Of Financial Sanctions Implementation
Financial sanctions have featured once again in the headlines over recent weeks in connection with the "Panama Papers".
20 Apr 2016
Publication De La Doctrine AMF Sur Les Cessions Et Acquisitions D'actifs Significatifs
Le 17 juin 2015, l'Autorité des marchés financiers (AMF) a publié sa doctrine concernant les cessions et les acquisitions d'actifs significatifs dans une position-recommandation DOC-2015-05...
4 Apr 2016
FSA Sanctions In Team Move Cases
In Spring 2010, we published an Update on the "Tullett Prebon Plc v BGC Brokers LP" case.
6 Jun 2012
Recent Reforms of the Mining Code and Model Mining Convention In Mauritania
The mining income contributes to more than a quarter of Mauritania’s gross domestic product and mining is generally seen as a strategic asset in the country’s long-term growth strategy.
23 May 2012
The Bribery Act 2010: UK Government Publishes "Adequate Procedures" Guidance
The Bribery Act 2010 is intended to modernise UK anti-corruption legislation and bring it into line with the OECD Anti-Bribery Convention.
8 Apr 2011
UK Financial Regulator Revises the Remuneration Code
The Financial Services Authority (the FSA), the regulator responsible for the financial services industry in the UK, has published a consultation paper setting out its proposed changes to the Remuneration Code (the Code).
19 Sep 2010
FAIF Regime Gives UK Retail Investors Increased Access to Hedge Fund Sector
From 6 March 2010, the scope of the UK regime for retail collective investment schemes will be extended such that it will be possible to establish and operate a funds of funds (a fund of alternative investment funds ("FAIF")) which may invest all of its assets in "unregulated" offshore funds.
8 Mar 2010
S&P and Fitch Announce Special Designations for Structured Finance Ratings
Both Standard & Poor’s and Fitch have announced plans to add a special designation to their respective ratings of structured finance instruments. Each will be using the letters "SF," though it appears Fitch will lower case them (sf). In each case, it appears the change will be implemented by September.
1 Mar 2010
Registration Deadline Fast Approaching for the New Approved Persons Regime - 6 February 2010
In a previous alert we highlighted the impact of the policy statement issued by the UK Financial Services Authority entitled "The approved persons regime - significant influence review" ("PS09/14").
1 Feb 2010
Draft Compromise Directive for Alternative Investment Fund Managers ("AIFM")
On 12 November 2009, the Council of the European Union ("Council") published a compromise proposal draft of the Directive on Alternative Investment Fund Managers (the "Directive") ( /pdf/en /09/st15/st15910.en09.pdf).
25 Nov 2009
RMBS issuer principles published – a kick-start to the RMBS market?
The European Securitisation Forum has now published its Residential Mortgage-Backed Securities (RMBS) Issuer Principles for Transparency and Disclosure (the "Principles"), together with two data reporting templates for RMBS issuers to use in conjunction with the Principles.
European Union
13 Mar 2009
European Parliament Calls For Legislation On Hedge Funds And Private Equity, As Part Of A Wide Review Of EU Financial Regulation
On 23 September, the European Parliament voted in support of two reports calling for legislation to be proposed which would, if made into a directive, radically extend the scope of EU financial regulation to include hedge funds (HF) and private equity houses (PE). The new legislation requested by MEPs would potentially consist of a directive to impose a "common standard of transparency and to tackle the issues" in relation to HF and PE.
European Union
30 Sep 2008
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