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Linklaters: Financial Crime Update

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Financial Crime Update

Linklaters
January 23, 2013
9 pages

Latest UK Financial Services News

McGuireWoods: The High Court Signals a Narrowing in the Interpretation of Material Adverse Change

May 23, 2013 UK: Financial Services

Goodwin Procter: The Alternative Investment Fund Managers Directive - UK Treasury Releases Near-Final Draft of Implementing Regulations

May 22, 2013 Treasury Consults (Quickly) on AIFMD

Proskauer: United Kingdom Aims to Minimise the Transition and Marketing Requirements For AIFMs Under AIFMD

May 22, 2013 Treasury Consults (Quickly) on AIFMD

Clifford Chance: The week at the UK regulators

May 21, 2013 UK: Financial Services
Shearman & Sterling: The Eurozone Crisis: Legal Implications for the Real Estate Market

May 20, 2013 The Eurozone Crisis
Perkins Coie: In re LIBOR-Based Financial Instruments Antitrust Litigation: A Long Road Ahead

May 18, 2013 Review of LIBOR Settings
Dechert: Has the FCA Started As It Means To Go On?

May 17, 2013 UK: Financial Services
SJBerwin: Implementing the AIFMD in the UK

May 17, 2013 Treasury Consults (Quickly) on AIFMD
Herbert Smith Freehills: Private LIBOR Claims - An Uphill Battle for Claimants

May 17, 2013 Review of LIBOR Settings
Dentons: United Kingdom Supreme Court Rules on Setting Aside Trustee Decisions [Futter v. HMRC and Pitt v. HMRC]

May 16, 2013 UK: Financial Services
SJBerwin: UK Government issues regulations on AIFMD implementation

May 16, 2013 Treasury Consults (Quickly) on AIFMD
Winston & Strawn: London Fortnightly Financial Newsletter

May 16, 2013 UK: Financial Services
Akin Gump: Update on the U.K. Transposition of the AIFMD

May 14, 2013 Treasury Consults (Quickly) on AIFMD
Sullivan & Cromwell: Basel III Capital Framework: Basel Committee Publishes Consultative Document Proposing Changes to the Capital Treatment of Purchased Credit Protection

May 14, 2013 Basel III's Tougher Capital, Leverage and Liquidity Standards
SJBerwin: Which MiFID investment firms are caught by the new bonus cap?

May 14, 2013 Markets in Financial Instruments Directive (MiFID I & II)
Travers Smith: Countdown to AIFMD: UK Treasury's revised implementing Regulations

May 14, 2013 Treasury Consults (Quickly) on AIFMD
Allen & Overy: LIBOR reforms – an update

May 14, 2013 Review of LIBOR Settings
Allen & Overy: Planning ahead for EU bonus caps

May 14, 2013 Financial Services (EU)
Jones Day: Financial Services and Markets—A Perfect Litigation Storm?

May 13, 2013 UK: Financial Services
Clifford Chance: This week at the UK regulators

May 13, 2013 UK: Financial Services
DLA Piper: FCA publishes policy statement PS 13/1 on platform service providers and rebate payments

May 10, 2013 UK: Financial Services
Dentons: Preventing financial crime – focus on prevention and deterrence

May 10, 2013 Financial Services (EU)
Allen & Overy: EU transaction tax

May 10, 2013 EU Proposes Financial Transactions Tax
Linklaters: The Crime and Courts Act 2013 and its impact on financial crime enforcement

May 08, 2013 UK: Financial Services
Macfarlanes: Attestors Beware! The real risks of Regulatory attestations

May 08, 2013 UK: Financial Services
Clifford Chance: Deposits, Deposit Guarantee Schemes and Bank Resolution

May 08, 2013 Financial Services (EU)
Willkie Farr & Gallagher: Enforcement Under The New UK Regulatory Architecture

May 07, 2013 The Financial Services Act 2013
Clifford Chance: This week at the UK regulators

May 07, 2013 UK: Financial Services
Morrison Foerster: IOSCO Consultation Report on Financial Benchmarks

May 06, 2013 Review of LIBOR Settings
Covington & Burling: The EU Alternative Investment Fund Managers Directive - Update on UK Developments

May 03, 2013 Treasury Consults (Quickly) on AIFMD
SJBerwin: The impact of a Financial Transaction Tax on private equity

May 03, 2013 EU Proposes Financial Transactions Tax
Herbert Smith Freehills: EU Bankers' Bonus Cap - CRD IV

May 03, 2013 Financial Services (EU)
Schulte Roth & Zabel: US Private Fund Advisers Likely to Have Another Year to Comply with the AIFM Directive for Marketing in the UK

May 02, 2013 Treasury Consults (Quickly) on AIFMD
Herbert Smith Freehills: FCA confirms bans on payments to platforms and cash rebates

May 02, 2013 UK: Financial Services
Akin Gump: HM Treasury Announces a Transitional Period for Marketing of Alternative Investment Funds in the U.K.

May 02, 2013 Treasury Consults (Quickly) on AIFMD
Travers Smith: Finance Monthly - April 2013

May 02, 2013 UK: Financial Services
SJBerwin: AIFMD Update: UK closes the marketing gap and extends transitional arrangements to non-UK firms

May 01, 2013 Treasury Consults (Quickly) on AIFMD
Macfarlanes: Tensions at the top: The modern day dilemma for directors of regulated firms

May 01, 2013 UK: Financial Services
Morgan Lewis: Treasury Changes Course on UK Implementation of AIFMD

April 30, 2013 Treasury Consults (Quickly) on AIFMD
McDermott Will & Emery: Update on The Proposed European Cap on Bank Bonuses

April 30, 2013 Financial Services (EU)
Travers Smith: Countdown to AIFMD - UK Treasury's implementation Q&As

April 30, 2013 Treasury Consults (Quickly) on AIFMD
Wragge & Co: Consumer credit - what the future holds for consumer credit firms post 1 April 2014

April 29, 2013 UK: Financial Services
Clifford Chance: This week at the UK regulators

April 29, 2013 UK: Financial Services
Morrison Foerster: The UK’s Financial Services Act 2012: Some Key Features

April 27, 2013 The Financial Services Act 2013
Willkie Farr & Gallagher: U.S. sanctions and how they can apply to UK institutions and/or U.S. employees working within those institutions

April 27, 2013 UK: Financial Services
Fried Frank: The Proposed EU Financial Transaction Tax

April 26, 2013 EU Proposes Financial Transactions Tax
Mayer Brown: The financial transaction tax: an update

April 26, 2013 EU Proposes Financial Transactions Tax
SJBerwin: Financial Institutions Newsletter

April 25, 2013 Financial Services (EU)
Wragge & Co: Finance Litigation Briefing: report and review on the latest cases and issues

April 25, 2013 UK: Financial Services
SJBerwin: Bonuses again? What's the fuss now?

April 24, 2013 UK: Financial Services
Dentons: Are Investment Advisers Under a Fiduciary Duty?

April 24, 2013 UK: Financial Services
Davis Polk: Recent European Compensation Developments: Financial Institutions and Beyond

April 24, 2013 Financial Services (EU)
Clifford Chance: This week at the UK regulators

April 22, 2013 UK: Financial Services
Macfarlanes: Twin Peaks Regulation - What next?

April 19, 2013 The Financial Services Act 2013
Mayer Brown: Top Tips for Complying with the Model Code

April 18, 2013 UK: Financial Services
Linklaters: Eurozone Bulletin: Capital and Exchange Controls

April 18, 2013 The Eurozone Crisis
Debevoise & Plimpton: FSA Enforcement Decision Introduces Major Increase in Fines for Breaches of the Listing Rules

April 17, 2013 UK: Financial Services
Chadbourne & Parke: Ukraine and the Cyprus Bailout: Time to Find a New Haven for Direct Foreign Investments?

April 17, 2013 The Eurozone Crisis
Taylor Wessing: Regulatory appetite increases for pursuing Listing Rule breaches

April 16, 2013 UK: Financial Services
Morgan Lewis: Cyprus Bailout: Potential Recourse for Lost Investments

April 13, 2013 The Eurozone Crisis
Morgan Lewis: Corporate Aspects of the UK Financial Services Act 2012

April 13, 2013 The Financial Services Act 2013
Mayer Brown: Benchmark Rate Reform: Orderly Transition or Potential Chaos and Confusion?

April 13, 2013 Review of LIBOR Settings
DLA Piper: An Overview of Regulation of Libor

April 11, 2013 Review of LIBOR Settings
Dentons: Mandatory Costs: What Now? [Removal from LMA Schedule]

April 11, 2013 UK: Financial Services
Groom: European Litigation on Taxes on Cross-Border Pension Investment – Should Your Plan Look for Refunds?

April 09, 2013 Financial Services (EU)
Clifford Chance: ECJ rules that outsourced investment advisory services are exempt from VAT

April 08, 2013 Financial Services (EU)
Morgan Lewis: New UK Financial Regulation Architecture Takes Effect

April 08, 2013 The Financial Services Act 2013
Taylor Wessing: What to expect from PRA supervision

April 05, 2013 The Financial Services Act 2013
SJBerwin: UK's regulator consults further on AIFMD implementation

April 05, 2013 FCA Consults on AIFMD

FSA Assesses City's Bribery Act Efforts; Not Impressed

Allen & Overy: FSA thematic review into anti-bribery and corruption systems and controls

WilmerHale: FSA Review into Anti-Bribery and Corruption Systems and Controls in Investment Banks

Baker Botts: New UK Government Assessment Shows Anti-Bribery Controls Lacking

Greenlight: FSA Fines Hedge Fund For Market Abuse

Taylor Wessing: Disclosing inside information – can investors still be brought 'over the wall'?

Gibson Dunn: A Tale of Market Abuse Highlighting Traps for the Unwary

Jones Day: FSA's Fine of David Einhorn and Greenlight Capital for Insider Trading Violation

FCA Consults on AIFMD

SJBerwin: UK's regulator consults further on AIFMD implementation

Nabarro: Second FSA consultation paper on transposing the AIFMD

Proskauer: UK Regulators Propose Implementing Rules and Regulations on AIFMD

FSA fines Willis Ltd; Sheds Light on "Adequate Procedures"

Paul Hastings: Willis Limited Hit with Record Fine for Failure of Anti-Corruption Controls

K&L Gates: FSA Anti-Corruption Enforcement - No Bribery Act Required

Shoosmiths: Throwing light on the meaning of adequate procedures? [FSA Decision re: Willis Limited]

The Financial Services Act 2013

Willkie Farr & Gallagher: Enforcement Under The New UK Regulatory Architecture

Morrison Foerster: The UK’s Financial Services Act 2012: Some Key Features

Macfarlanes: Twin Peaks Regulation - What next?

Independent Commission on Banking's Final Report on Banking Reform

Ashurst: UK banking reform: change is coming

Linklaters: Government White Paper on Banking Reform

ReedSmith: Banking Reform: Delivering Stability and Supporting a Sustainable Economy

FSA Revises Remuneration Code

Herbert Smith: Remuneration: FSA Guidance replaces tiering with new proportionality regime

Shearman & Sterling: FSA Proposes to Amend Proportionality Provisions of the Remuneration Code

Linklaters: FSA Remuneration Code: consultations on proportionality tiers and remuneration data collection

"Disguised Remuneration" Legislation

Squire Sanders: Disguised Remuneration – the Effect on Image Rights Payments

Linklaters: Final Guidance on Disguised Remuneration Published

Pinsent Masons: Share plans - Disguised Remuneration – HMRC draft guidance brings some further clarification on some issues but no significant changes in approach

Mandatory Taping of Mobile Calls For UK Finance Sector

Schulte Roth & Zabel: FSA Makes Amendments to Telephone Taping Rules

Travers Smith: "Telephone taping": removal of the mobile phone exemption

McDermott Will & Emery: FSA Approves Taping Relevant Communications Conducted on Mobile Phones

Retail Distribution Review

Taylor Wessing: FSA publishes top questions on RDR

Ropes & Gray: New UK Distribution Rules Effective December 31 – the Impact on Fund Managers

Ashurst: RDR: Adviser charging and inducements

FSA's Client Assets Sourcebook (CASS)

SJBerwin: The FSA publishes further changes to its CASS rules

Slaughter & May: Reforming the UK Client Money Regime: A regulatory response to the Lehman litigation

Debevoise & Plimpton: FSA Review of the Client Money Rules for Insurance Intermediaries

UK Stewardship Code

Herbert Smith: Stewardship Code – new requirement for asset managers to include a statement of compliance on their websites

Norton Rose: The UK Stewardship Code - focus on asset managers

Morrison Foerster: The UK Stewardship Code

OFT's Equity Underwriting Study

Dechert: OFT Concludes Its Market Study on Equity Underwriting and Associated Services

Linklaters: OFT finds lack of competitive pressure on equity underwriting fees

Hogan Lovells: And now for some good news for banks ... OFT proposes no further investigation on equity underwriting fees

Sullivan & Cromwell: UK Bank Levy: Amendments to the UK Bank Levy Regime and its Interaction with French and German Bank Levies

Sullivan & Cromwell: Bank Levies in the UK, France and Germany: A Comparison of the New Levies on Banks

Clifford Chance: UK Bank levy – revised draft legislation published

The Walker Review

Morgan Lewis: Guidelines Monitoring Group Updates Walker Guidelines

Ashurst: Upper Tribunal decision in FSA's case against Swift Trade Inc is a warning to those offering market access trading facilities to customers

SJBerwin: The UK’s Walker Guidelines

The Turner Review

Taylor Wessing: Arch cru: FSA issue public censure (but no fine) against Authorised Corporate Director

Clifford Chance: Turner Review Part 2: How to regulate banks which are "too big to fail"?

DentonWildeSapte: Turner Review Feedback – a victory for FSA?

Springwell v JPMorgan: Mis-selling To Sophisticated Clients

SJBerwin: Mis-selling claims compared: England and Germany take different approaches

Norton Rose: Mis-selling claim - Springwell Navigation Corporation v JP Morgan Chase Bank

Slaughter & May: The doctrine of contractual estoppel in the financial services arena [JPMorgan v Springwell]

Tax on UK Bank Bonuses (Boni)

Sullivan & Cromwell: UK Bank Payroll Tax on Certain Bonuses Paid by Financial Institutions - Final Legislation and Additional Developments

Fried Frank: UK Bank Payroll Tax – Further Clarifications and Exclusions Issued

Pinsent Masons: Bank Payroll Tax