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FINRA Releases its 2017 Annual Regulatory and Examination Priorities Letter
  • Drinker Biddle & Reath LLP
  • USA
  • January 19 2017

Earlier this month, FINRA published its Annual Regulatory and Examination Priorities Letter (the “Letter”). This is the first Letter under the tenure


Financial regulation in 2017: Europe and the US
  • DLA Piper LLP
  • European Union, USA
  • January 19 2017

The result of the UK referendum on its EU membership and the outcome of the US Presidential elections of 2016 have laid the ground for 2017 to be a


2017 SEC Exam Priorities for Securities Industry Registrants
  • Greenberg Traurig LLP
  • USA
  • January 18 2017

The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its annual list of


The Investment Funds and Advisers 2016 Year-End Client Update Recap
  • Sidley Austin LLP
  • USA
  • January 17 2017

As the developments affecting the investment management industry continue to unfold, we have once again prepared our annual compendium of relevant


FINRA Issues Its 2017 Exam Priorities
  • Sidley Austin LLP
  • USA
  • January 17 2017

On January 4, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priorities Letter (Letter) to


FINRA to Be Target of Enhanced SEC Inspection Focus in 2017
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued its 2017 priorities that included its plan to


Expect the unexpected: The year ahead for the Financial Institutions Sector
  • Hogan Lovells
  • European Union, United Kingdom, USA
  • January 13 2017

There’s nothing new about change in the financial institutions sector. As in previous years, change for firms will be driven largely by regulation and


The OCC's Responsible Innovation Framework and Fintech Bank ChartersLatest Developments
  • Jones Day
  • USA
  • January 13 2017

The Comptroller of the Currency ("OCC") has been working for more than a year to develop a comprehensive framework to improve the OCC's ability to


OCIE 2017 Exam Priorities: Focus on Retail, Elderly and Retirement Investors; Market Risks
  • Morrison & Foerster LLP
  • USA
  • January 12 2017

The SEC's National Examination Program (NEA) of the Office of Compliance Inspections and Examinations (OCIE) announced that its examination priorities


US Indicts Romanian and Chinese Cybercriminals
  • Seyfarth Shaw LLP
  • China, Romania, USA
  • January 10 2017

December 2016 brought the US government some progress on prosecuting foreign cybercriminals. Last month, three Romanians were extradited to face