- Practice Areas
- Publication Type
- Resources
- Practice Areas
- Publication Type
- Resources
- Home/Publications/Financial Regulation International
Mack replaces Wheat at CSFB
John Mack, the former president of Morgan Stanley has been appointed the new chief executive of Credit Suisse First Boston following the sacking of Allen Wheat.
The new chief, who has been out of work since leaving Morgan Stanley in March will take..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Tokyo adopts Liffe’s Connect
The London International Financial Futures and Options Exchange (LIFFE) has sold its electronic trading system Connect to the Tokyo International Financial futures Exchange, with the aim of installing the system by the end of next year. Liffe has..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
UniCredito becomes sixth CLS shareholder in 2001
UniCredito Italiano (UniCredito) Italy’s second largest banking group, has become the sixth major new shareholder of the CLS Group this year, bringing the total number of shareholders to 62.
In due course UniCredito will apply to become a..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Australia looks at 2004 for T+1
The Australian Stock Exchange (ASX) has begun talks on a possible move to T+1 setdement of equities, following similar initiatives by the Canada and the US.
The discussions on how to practically achieve this started at a T+1 forum held in..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
New faces at LCH
The London Clearing House (LCH) has made three senior appointments and created a new management structures, reflecting its expanding business lines.
The reorganisation formally brings in to existence LCH’s clearing operations for fixed income..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Euroclear takes Clearnet stake
Euroclear, the Brussels-based ICSD, has agreed to take a 20 per cent share in Euronext clearing house Clearnet, taking up the option on a stake as part of the merger deal with French depository Sicovam, which was finalised in January.
Euroclear ceo..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Clearstream in the clear?
The Luxembourg public prosecutor has cleared the ICSD of accusations that it engaged in systematic money laundering.
Clearstream was caught up in controversy earlier this year after ‘Revelation$’, a book co-written by a former..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Hong Kong SFC chief named
Ashley Alder, a corporate partner at law firm Herbert Smith, has been appointed to the position of executive director of the Hong Kong Securities and Futures Commission for a period of three years from 1 October 2001.
The appointment has been made..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
N2 date announced
Economic Secretary Ruth Kelly has announced that the Financial Services Authority (FSA) will become the statutory regulator under the Financial Services and Markets Act 2000 (FSMA) with effect from midnight 30 November 2001 (N2 date).
Ruth Kelly..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
FATF report published
The Financial Action Task Force has ‘named and shamed’ several new countries, for their alleged deficiencies in money laundering controls in its latest report.
The countries still on the list from its inaugural blacklist in 2000 are the..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Swedish regulator finds 35 unlawful websites
Finansinspektionen, the Swedish financial services watchdog, has found that one in six internet sites offering financial services are breaking the law.
The regulator has investigated 210websites offering financial services and has found that 35 are..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
FSA to be jargon buster
The UK Financial Services Authority has promised a crackdown on jargon and small print, going so far as to say it could ban some products altogether because they are too complex to be sold to private investors.
The regulator will get tough with..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Malaysian Parliament Passes Anti-Money Laundering Act
Brian Chia, Wong & Partners, Kuala Lumpur.
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Interim financial disclosures
Nick Etches, KPMG, Hong Kong
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Amendments to the Guidance Note on Competence and the Guidance Note on Continuous Professional Training
The Securities and Futures Commission (“SFC”) announced amendments to the Guidance Note on Competence (“GNC”) and the Guidance Note on Continuous Professional Training (“GNCPT”) on 29 June 2001.
The GNC has been..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Amendments to the Main Board Listing Rules in relation to directors’ dealings and to the GEM Listing Rules in relation to directors’ dealings and Year 2000 compliance
The Stock Exchange of Hong Kong (“SEHK”) announced on 19 June 2001 that the SEHK’s Listing Rules concerning the restriction period for directors’ dealings in their companies’ securities had been amended. This amendment..
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Court sheds light on relevance of European Convention on Human Rights to conduct of SFA disciplinary proceedings.
Joanna Gray, Senior Lecturer in Law, University of Northumbria, Newcastle upon Tyne
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
FSA E-COMMERCE: An emerging policy response
Dr G A Walker, Centre for Commercial Law Studies
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
The SEC issues amendment to International Disclosure standards
DOUGLAS P. FAUCETTE, Muldoon Murphy & Faucette LLP, (assisted by Roy E. Brownell II)
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Agreement on the Charter of the Committee of European Securities Regulators
FRI
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Consultation on the regulation of Primary market practices – Stabilisation and Allotment
FRI
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Lamfalussy update
Karel Lannoo, Senior Research Fellow, Centre for European Policy Studies.
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001
Capital Consultation
Dr G A Walker, Centre for Commercial Law Studies
Online Published Date:
01 July 2001
Appeared in issue:
4.8 - 01 July 2001