News & Analysis as of

Investment Management Disclosure Requirements Capital Markets

A&O Shearman

Regulatory monitoring: EU version Newsletter - February 2024

A&O Shearman on

1. Bank regulation - 1.1 Prudential regulation - (a) General - (i) EU - ECB: Memorandum of Cooperation between ECB and CAs on third-country bank supervision - Status: Final - The ECB has published a Memorandum of...more

Mayer Brown Free Writings + Perspectives

Top 10 Practice Tips: Comfort Letters - August 2022

This practice note discusses 10 practice points that can help you, as counsel to underwriters or initial purchasers, skillfully navigate the task of reviewing and negotiating comfort letters. A comfort letter is a letter...more

Dechert LLP

International Capital Markets Newsletter: The ESG Edition - June 2021 – Issue 4: ESG Investing in Latin America: The Story So Far

Dechert LLP on

In the midst of uncertainties caused by the COVID-19 pandemic, it has been possible to observe the expansion of sustainable investing, especially in Latin America. Over the past two years, investors have been seeing ESG...more

Dechert LLP

The SFDR Jigsaw – Putting the Pieces Together

Dechert LLP on

Introduction - On 10 March 2021, the main operative provisions of the Sustainable Finance Disclosure Regulation (2019/2088) (SFDR) began to apply. However, rather than marking the end of the ESG journey, it is just the...more

Lowenstein Sandler LLP

Recent Developments in FINRA’s Award of Credit for Extraordinary Cooperation Offers Guidance to Member Firms

Lowenstein Sandler LLP on

In 2020, the Financial Industry Regulatory Authority Inc. (FINRA) settled alleged rule violations with various large investment firms, including Merrill Lynch, Citigroup Global Markets Inc. (CGMI), Transamerica Financial...more

Mayer Brown Free Writings + Perspectives

Business Development Company Guide for Capital Markets

This guide covers all related information that a securities practitioner needs when working with a Business Development Company (BDC). It provides an overview of the industry and covers applicable securities laws and...more

Dechert LLP

International Capital Markets Newsletter Issue 1 – Spring 2019: Brexit Disclosure – A Principles-Based Approach

Dechert LLP on

“As you know all too well, there is tremendous uncertainty associated with Brexit … In addition, there is a lack of clarity on what the actual effects of Brexit will be on companies, their investors and on global financial...more

Bennett Jones LLP

Changes Coming to Non-GAAP and Other Financial Measures Disclosures Regime

Bennett Jones LLP on

On September 6, 2018, the Canadian Securities Administrators (CSA) published a Notice and Request for Comment (the "Notice") regarding Proposed National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure (the...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

EBA Outlines Upcoming Initiatives for the Regulation of Retail Payments - The European Banking Authority ("EBA") has announced details of its plans to harmonize regulatory and supervisory practices to ensure secure, easy...more

9 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide