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Results: 1-10 of 470

The Yates Memo and Individual Representation
  • McGuireWoods LLP
  • USA
  • November 17 2016

At t he November 2, 2016 Securities Industry and Financial Markets Association (“SIFMA”) Compliance and Legal Society Regional Seminar in New York, a


President-Elect Trump Will Bring Changes to the SEC and CFTC
  • McGuireWoods LLP
  • USA
  • November 10 2016

The inauguration of Donald Trump as President, together with the Republican majority Congress, will trigger changes at the SEC and CFTC in 2017. SEC


CFPB Director Cordray’s Remarks at FinTech Conference Highlight Focus on Increasing Access to Financial Data
  • McGuireWoods LLP
  • USA
  • November 2 2016

Last Monday, October 24, Consumer Financial Protection Bureau (CFPB) Director Richard Cordray spoke on the Bureau’s approach to FinTech at Money 2020


Identifying Enforcement Innovations to Prepare for the Post-Yates Enforcement Environment
  • McGuireWoods LLP
  • USA
  • October 31 2016

During a recent webinar sponsored by the Washington Legal Foundation, we explored the impacts intensive individual-focused criminal enforcement can


Illinois May Pass Tough New Alternative Investment Fund Fee Disclosure Bill
  • McGuireWoods LLP
  • USA
  • October 21 2016

Fund managers in Chicago and elsewhere that manage Illinois public pension plan investments should be aware of Illinois House Bill 6292 (the IL Bill


Washington Healthcare Update - October 17, 2016
  • McGuireWoods LLP
  • USA
  • October 17 2016

In an Oct. 5 letter to Senator Dianne Feinstein (D-CA), the Food and Drug Administration (FDA) says its current legal authority over cosmetics is


CFTC Commissioner Giancarlo Sounds the Alarm (Again) on Flash Crashes, Dodd-Frank and Bank Capital Constraints
  • McGuireWoods LLP
  • USA
  • October 11 2016

On October 11, 2016, Commodity Futures Trading Commission (CFTC) Commissioner Christopher Giancarlo made an important request to other financial


What Alternative Investment Managers Need to Know About California’s First-in-the-Nation Fee Disclosure Law
  • McGuireWoods LLP
  • USA
  • October 7 2016

On September 14, 2016, California passed Assembly Bill Number 2833 to require managers of any private equity fund, venture fund, hedge fund, or


A Compliance Plan for the Extractive Industries Payment Disclosure Rule
  • McGuireWoods LLP
  • USA
  • September 28 2016

In the prior post we described the SEC's new Rule 13q-1 that took effect on Monday (September 26). In this post, we discuss steps covered companies


Tax Policy Update - September 20, 2016
  • McGuireWoods LLP
  • USA
  • September 20 2016

Last week was a bad week for Hillary Clinton. But the Democratic presidential nominee is still ahead of Donald Trump in the latest poll conducted by