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THOUGHT LEADERSHIP

Displaying Thought Leadership item(s) about Financial Institutions

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394 results

- August 13, 2019
  
  Demystifying Modern Convertible Notes
  
  Primer explains the regulatory and accounting frameworks applicable to convertible notes as well as the investment strategies that drive them.
  
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- August 13, 2019
  
  Crypto-Asset Trading Platforms: A Regulatory Trip around the World
  
  Latham lawyers explore the regulation of crypto-asset trading platforms in the EU, US, Hong Kong, Singapore, the Philippines, Thailand, and Japan in a chapter for Global Legal Insights' Fintech 2019.
  
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- July 11, 2019
  
  Mens Rea for Investment Advisers Act Violations
  
  Latham lawyers discuss a key appellate court ruling that ups the ante for Investment Advisers Act violations in a post for the Harvard Law School Forum on Corporate Governance and Financial Regulation.
  
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- July 09, 2019
  
  Putting Teeth Into the Compliance Rule: SEC Imposes US$5 Million Penalty on Investment Adviser for Valuation Practices
  
  The SEC’s penalty against fixed-income manager Deer Park signals increased vigilance over investment advisers’ valuation policies for client assets.
  
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- July 02, 2019
  
  10 Key Regulatory Focus Areas for UK/European Wholesale Markets in 2019 – Progress Report
  
  Latham lawyers reflect on the top ten regulatory focus areas for clients during the year ahead, mapping developments from the first half of 2019 and looking ahead to the remainder of the year.
  
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- June 25, 2019
  
  Key Appellate Court Ruling Ups the Ante for Investment Advisers Act Violations
  
  In Robare, the D.C. Circuit clarifies the negligence and willfulness standards under Sections 206 and 207 of the Act.
  
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- June 18, 2019
  
  UK and Singapore Regulators Announce Enhanced Cybersecurity Collaboration
  
  As leading global financial and FinTech centres, the UK and Singapore will benefit from strengthening their cybersecurity alliance.
  
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- June 06, 2019
  
  Regulators Get Tough on Regulatory Outsourcing Failings
  
  Latest FCA and PRA fines against a retail bank show little tolerance for poor outsourcing systems and controls.
  
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- May 21, 2019
  
  EU Prospectus Regulation: New Format and Content Requirements
  
  The full regulation will come into force in July, imposing new requirements for prospectuses.
  
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- May 16, 2019
  
  EU Kicks Off MAR Review
  
  The European Commission has set out the elements of MAR that it wishes to consider as part of a planned review.
  
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