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Keywords: European Union (EU)
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Journal Articles
EU whistleblowing rules to change in favor of whistleblowers
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2020) 21 (1): 55–61.
Published: 25 November 2020
... Poler De Zwart can be contacted at: apolerdezwart@mofo.com © Alja Poler De Zwart. 2020 Alja Poler De Zwart. Licensed re-use rights only European Union (EU) Whistleblowing Directive Whistleblowing reporting channels and mechanisms Reportable whistleblowing concerns Whistleblower...
Journal Articles
ESMA issues Brexit opinions to EU regulators: a warning shot not only to the UK but also to the EU27
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (4): 50–52.
Published: 06 November 2017
... the UK withdraws from the EU”. European Securities and Markets Authority (ESMA) European Union (EU) United Kingdom (UK) Regulatory arbitrage Single market access The European Securities and Markets Authority (“ESMA”) foresees regulatory and arbitrage risks in Brexit and a potential “race...
Journal Articles
Brexit: what are the options for the financial services industry?
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (4): 45–53.
Published: 07 November 2016
...David Sahr; Mark Compton; Alexandria Carr; Guy Wilkes; Alexander Behrens Purpose To explain the impact for financial services firms of the UK’s vote to leave the European Union (EU) and to assess the possible options for conducting cross-border financial services between the UK and EU...
Journal Articles
European private placements for US managers – navigating the AIFMD minefield
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (4): 25–28.
Published: 28 October 2014
... in the EU because it provides insight into the practicalities of navigating the minefield that is AIFMD. Winston Penhall can be contacted at: wpenhall@reedsmith.com © Authors 2014 Alternative Investment Fund Managers Directive (AIFMD) Alternative investment fund European Union (EU...
