Regulation
705 white papers and resources
Regulation underpins the practices and procedures of every single activity undertaken by the banking and finance communities: from what information needs to be contained in a disclosure document through to what constitutes bribery. Regulation is increasingly in focus, as the world’s governments struggle to bring us all back to financial stability. Below you will find law and regulation white papers that will show you the latest developments and what you need to do so your organisation stays within the law.
A guide to document comparison and security for legal departments
Producing and manage contracts, legal agreements, documentation and corporate policy manuals is critical for every legal team. Failure to adequately manage these documents and control their content can lead to a variety of risks including loss of employee productivity, legal judgments and customers.
KYC, AML, FATCA and client on-boarding - A glossary
This glossary is designed to support back and middle office resources in dealing with know your client (KYC), anti-money laundering (AML), Foreign Account Tax Compliance Act(FATCA) and client on-boarding.
Achieving Basel III compliance – How to tackle IT and business issues
Since its introduction the banking industry has had to make significant changes in order to meet Basel III’s strict set of requirements. This white paper reviews capital, risk management and technological challenges that the banking industry is facing in order to become Basel III compliant.
Global securities enforcement activity stepping up to meet new market challenges
The US regulatory environment continues to revamp with new rules being issued to conform to legislative mandates in the Dodd-Frank Act. The UK and EU also seek to reinforce previous global initiatives to reform and strengthen financial markets. These developments and implications are discussed.
Lender market advisory: swap guarantees – keepwells and excluded obligations
Under analysis in this white paper are options for addressing in loan documentation the US Commodity Futures Trading Commission requirement that guarantors of swaps that are not entered into on designated contract markets must be "eligible contract participants".
Private equity - the SEC, broker-dealer issues and tax in focus
In this private equity update, issues discussed include the SEC increasing its focus on transaction fees and other broker-dealer issues for private fund sponsors. Also, the US President’s budget proposals including changes to carried interest taxation, both of which will impact investors.
The use of non-GAAP financial measures — a disclosure guide
This alert provides practical guidance for the use of non-GAAP measures that balances the needs of issuers, the market and the US Securities & Exchange Commission.
Securitisation law reform: new perspectives for financing the Moroccan and wider African economy
Following the example of the most reliable and secure foreign legislations on securitisation, Morocco has modified its securitisation act n°33-06. Under discussion in this white paper is the impact upon companies and investors in Morocco and Africa.
Vietnam in focus: Investment companies, ETFs and REIFs
Vietnam recently introduced certain regulatory changes on foreign investors’ securities trading, and for the first time authorised the formation of securities investment companies (“investment companies”), exchange-traded funds (“ETFs”) and real estate investment funds (“REIFs”).
Mis-selling: a global perspective
This white paper sets out developments in key jurisdictions, and explores the common themes which are emerging from increasing levels of mis-selling litigation worldwide. It looks at emerging trends and strategic considerations.