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Results: 1-10 of 38,369

Issuers quoted in the U.S. over-the-counter markets
  • Gowling Lafleur Henderson LLP
  • Canada, USA
  • August 27 2015

On August 25, 2015, the participating provinces and territory in the Cooperative Capital Markets Regulatory System achieved an important milestone


Financial Crimes Enforcement Network proposal would mandate investment adviser anti-money laundering programs
  • Calfee Halter & Griswold LLP
  • USA
  • August 27 2015

Institutions, including banks and securities broker-dealers, are subject to requirements imposed by the Bank Secrecy Act (BSA) which, among other


DC Circuit re-affirms April 2014 decision invalidating portion of conflict minerals regime as unconstitutional
  • Steptoe & Johnson LLP
  • USA
  • August 26 2015

On August 18, 2015, the US Court of Appeals for the DC Circuit (the Court) re-affirmed by a vote of 2-1 its April 2014 decision striking down as


FinCEN issues NPRM establishing BSAAML requirements for investment advisers
  • BuckleySandler LLP
  • USA
  • August 26 2015

On August 25, FinCEN issued a Notice of Proposed Rulemaking (NPRM) seeking to adopt minimum Bank Secrecy Act (BSA) and anti-money laundering (AML


FinCEN issues new Proposed Rule for registered investment advisers to implement AML program and report suspicious activities
  • Clifford Chance LLP
  • USA
  • August 26 2015

Today, the Financial Crimes Enforcement Network ("FinCEN") issued a notice of proposed rulemaking (the "Proposed Rule"). The Proposed Rule (available


Cross-border financial services providers may request extension of deadline
  • Fredrikson & Byron PA
  • USA
  • August 26 2015

As we reported on August 12, 2015, financial services providers with more than $3 million of cross-border revenues during fiscal 2014 may be required


SEC approves final rules for pay ratio disclosure
  • Holland & Knight LLP
  • USA
  • August 26 2015

SEC Commissioners voted to approve the final "pay ratio" disclosure rules intended to help shareholders evaluate executive compensation practices


FTC cautions against improper reliance on “investment-only” exemption
  • Ropes & Gray LLP
  • USA
  • August 26 2015

Investment manager Third Point LLC and three of its affiliated funds have entered into a proposed settlement agreement with the federal antitrust


DC Circuit tosses Republican’s challenge to adviser pay-to-play rule
  • Burr & Forman LLP
  • USA
  • August 26 2015

The District of Columbia Circuit Court of Appeals Tuesday rejected a challenge to the SEC’s investment-adviser pay-to-play rule, holding that two


FinCEN proposes extending anti-money laundering compliance requirements to investment advisors
  • Stinson Leonard Street LLP
  • USA
  • August 26 2015

Yesterday, the United States Department of Treasury's Financial Crimes Enforcement Network (FinCEN) proposed a rule that would require SEC-registered