Spain: Criteria to Determine the Transfer Value of the Sale of non-listed Securities (Span)
www.garrigues.com/es_ES/noticia/campana-renta-algunos-criterios-tener-cuenta-determinacion-valor-transmision-ventas-valores 0
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Home » Posts taggedBanking (Page 38)
US: SEC warns Investors of Risks Associated with extended-hours Trading
www.findknowdo.com/news/06/10/2022/sec-warns-investors-risks-associated-extended-hours-trading?utm 0
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Netherlands: The new segregated Bank Account
www.twobirds.com/en/insights/2022/netherlands/dutch-financial-institutions-to-meet-asset-segregation-requirements 0
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Bermuda: Amendments to Investment Business Act now also regulate Providers without local Premises
Click to access 2022-06-BDA-Alert-Amendments-to-Investment-Business-Act-2003.pdf 0
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US: SEC obtains final Judgment on former Credit Rating Agency for internal Control Failures
www.findknowdo.com/news/06/08/2022/sec-obtains-final-judgment-former-credit-rating-agency-internal-control-failures?utm 0
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Peru: Amendments to the Banking Law
www.globalcompliancenews.com/2022/06/06/peru-amendments-to-the-banking-law270522/#page=1mafirma.pe/es/noticias/1242-modificaciones-a-la-ley-general-del-sistema-financiero 0
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US: Broker-Dealer settles FINRA Charges for Supervisory Failures over Sales of Mutual Fund Share Classes with 15 million USD
www.findknowdo.com/news/06/03/2022/broker-dealer-settles-finra-charges-supervisory-failures-over-sales-mutual-fund-share-classes?utm 0
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Colombia: AML/TF Rules for regulated Entities amended
www.hklaw.com/en/insights/publications/2022/06/se-actualizan-instrucciones-de-gestion-de-riesgo-laft 0
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Risk Management: Compliance Risks of Digital Banks
www.wolterskluwer.com/en/expert-insights/apac-digital-banks-speed-to-market-with-sustainable-success See also:www.davispolk.com/sites/default/files/2021-06/2021_financial_services_compliance_combined.pdfwww.globalbankingandfinance.com/the-scope-and-complexities-of-risk-management-in-financial-services/www.whitecase.com/publications/insight/latin-america-focus-fall-2022-five-ways-fintechs-compliance 0
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US: Court Dismissal of Securities Class Action against Bank for Failure to disclose deteriorating Bond Market Conditions
www.lit-sl.shearman.com/First-Circuit-Affirms-Dismissal-Of-Putative-Securities-Class-Action-Against-Bank-For-Alleged-Failure#page=1 0
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