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Investment managers are restricted from making political contributions to win business -- unregistered advisers are covered by the SEC's new pay-to-play rule -- third party solicitors are spared . . . if they are registered advisers or broker-dealers
  • Locke Lord LLP
  • USA
  • July 1 2010

Fund managers and other investment advisers will face tight new restrictions on their ability to make - or facilitate - contributions to politicians, candidates and other officials who are responsible for public assets, including pension plans and Section 529 tuition plans


Financial Services Authority and Financial Reporting Council publish discussion paper on auditors' role in prudential regulation
  • Locke Lord LLP
  • United Kingdom
  • July 9 2010

On 30 June 2010, the UK's Financial Services Authority (FSA) and Financial Reporting Council (FRC) published a joint discussion paper (DP) entitled "Enhancing the auditor's contribution to prudential regulation"


Senate tees up financial regulatory reform following healthcare victory
  • Locke Lord LLP
  • USA
  • March 25 2010

Top lawmakers met with President Obama Wednesday in order to regain momentum on financial regulatory reform legislation in Congress


District of New Jersey dismisses securities fraud claims against company that suffered data breach
  • Locke Lord LLP
  • USA
  • March 29 2010

Late last year, the United States District Court for the District of New Jersey dismissed a securities fraud litigation that had been brought against a payment card processor in connection with the theft, by cybercriminals, of credit and debit card information from the company's computer system


Cornerstone’s review and analysis of 2009 securities class action settlements
  • Locke Lord LLP
  • USA
  • March 29 2010

Cornerstone Research released its report on its review and analysis of 2009's securities class action settlements


Speech by Sally Dewar - taking the FSA's corporate governance agenda forward
  • Locke Lord LLP
  • United Kingdom
  • April 6 2010

Sally Dewar, the Financial Services Authority's (FSA) managing director of Risk, gave a speech entitled "Taking the FSA's corporate governance agenda forward" at the City Corporate Governance and Remuneration Summit on 30 March 2010


International Public Company D&O: Status & Trends - Canada
  • Locke Lord LLP
  • Canada
  • April 14 2010

Class action securities claims are a perennially interesting topic for attorneys and companies around the world and across industries


Bermuda Monetary Authority publishes its 2010 Business Plan
  • Locke Lord LLP
  • Bermuda
  • January 19 2010

On 14 January 2010 the Bermuda Monetary Authority (BMA) presented its regulatory framework Business Plan for the year ahead at its Annual General Meeting


The Financial Services Authority publishes independent review of financial promotions compliance
  • Locke Lord LLP
  • United Kingdom
  • January 26 2010

The Financial Services Authority (FSA) has recently published the results of an independent review of firms' compliance with its financial promotions requirements (the Review


Confederation of British Industry and PricewaterhouseCoopers publish report on the future of the financial services industry
  • Locke Lord LLP
  • United Kingdom
  • January 28 2010

On the 20th anniversary of the Confederation of British Industry and PricewaterhouseCoopers Financial Services Survey, twenty leading figures from across the financial services industry have given their views in a report entitled "2020 Vision - The Future of Financial Services" (the Report