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Investment Management Update — 4 July 2014: FCA Handbook Notice 13; ESMA updates Q&As on AIFMD; and more
Macfarlanes has released the 4 July 2014 issue of its Investment Management Update.
Macfarlanes has released its M&A Weekly Update for the period 13–19 June 2014.
Trade deals are expected to be announced following the meeting between Chinese premier Li Keqiang and UK prime minister David Cameron.
By now, any ‘financial institution’ would need to have had its head in the sand in order not to be aware of the impact of FATCA and its need to comply with this new regime.
This briefing considers the difference between the account options available and certain potential benefits or risks associated with them.
In 2012, the FSA imposed a financial penalty of £450,000 on JP Morgan’s Ian Hannam in relation to two instances of market abuse. In 2013, Hannam appealed this decision to the Upper Tribunal.
Macfarlanes has published its M&A Weekly Update for the period 30 May to 6 June 2014.
This briefing from Macfarlanes presents answers to some of the more frequently asked questions about FATCA.
M&A Weekly Update: fraud, bribery and money laundering sentencing guidelines; limited liability partners as workers; and more
Macfarlanes has released its M&A Weekly Update for the period 23–28 May 2014.
M&A Weekly Update: The Registrar of Companies v Swarbrick & Ors; FCA guidance on listing rules; and more
Macfarlanes has released its M&A Weekly Update for the period 16–23 May 2014.
Investment Management Update: FCA thematic review of clarity fund charges; ABI guide to unit-linked funds; and more
Macfarlanes has released the 22 May 2014 issue of its Investment Management Update.
The Financial Conduct Authority (FCA) has published a policy statement containing its final rule changes on the use of dealing commission.
M&A Weekly Update: controlling shareholder Listing Rule changes; Pfizer’s hostile takeover bid for AstraZeneca; and more
The FCA has published a final version of its changes to the UK’s Listing Rules, regulating controlling shareholders of premium listed companies.
Investment Management Update: FCA expectations for investment managers on dealing commission; and more
The Financial Conduct Authority has published Policy Statement PS 14/7 on changes to the rules on use of dealing commission.
Investment Management Update: FCA’s 2014 Risk Outlook; consumer complaints fall; European Parliament draft agenda; and more
The FCA has published its risk outlook for the year. The outlook is split into two parts entitled ‘drivers of risk’ and ‘the evolving risk landscape’.
Privilege denied — defendants’ attempts to withhold disclosure of documents on the grounds of litigation privilege rejected
In two recent cases, it has been held that professionally prepared correspondence and reports were not protected by litigation privilege.
The recently published FCA business plan and risk outlook for 2014 contain some instructive pointers for institutions on both the buy-side and the sell-side.
The FCA’s newly published business plan envisages Thematic Reviews in a number of areas relevant to investment management...
This short note summarises what the EU is working towards when it comes to securities financing and rehypothecation transactions.
In over-the-counter financial instruments, phrases such as ‘commercially reasonable manner’ are often employed, often at the cost of speed and certainty for the parties to the transaction.