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The Brave New Fiduciary World Has Arrived - The DOL Tries to Find a More Ideal Balance in the Final “Investment Advice” Rules
  • Dechert LLP
  • USA
  • May 26 2016

The U.S. Department of Labor (the "DOL") on April 6, 2016 released the final version of its "investment advice" regulation and accompanying


SEC To Award More Than US $5 Million to Whistleblower
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

An unnamed whistleblower will receive an award of between US $5 and $6 million because of information voluntarily provided to the Securities and


The DOL Issues Broader Fiduciary Adviser Definition: What Does it Mean for You?
  • Greenberg Traurig LLP
  • USA
  • May 19 2016

Since the enactment of ERISA in 1974, there has been a dramatic shift in the retirement savings marketplace from employer-sponsored defined benefit


Financial Services Regulation exchange - issue 29 - May 2016 - USA
  • DLA Piper LLP
  • USA
  • May 19 2016

The final US Department of Labor (DOL) fiduciary regulation (the Final Rule) and other guidance published by the DOL on April 8 will have a


Whistleblower Incentive Programs Continue to Gain Traction as the U.S. CFTC Announces $10-million Payout
  • Osler Hoskin & Harcourt LLP
  • Canada, USA
  • May 6 2016

With the Ontario Securities Commission's new incentive-based whistleblower program now on the horizon, recent awards under comparable whistleblower


CFTC announces its largest whistleblower award to date - key takeaways
  • DLA Piper LLP
  • USA
  • May 2 2016

The US Commodity Futures Trading Commission has announced its third and largest whistleblower award to date - an award of more than $10 million - to


SEC Seeks Views on Whether Proposal for Single Consolidated Audit Trail of All Equity and Equity Options Trading Is CAT’s Meow
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

The Securities and Exchange Commission voted to publish a plan to create a single consolidated audit trail (CAT) to track all equities and options


Financial Services Update, Vol. 11, no. 13
  • Winston & Strawn LLP
  • USA
  • April 4 2016

According to the Institute for Women’s Policy Research in Washington, D.C., the U.S. gender wage gap is closing so slowly that pay equality won’t be


Proposed “Whistleblower Augmented Reward and Nonretaliation Act” Aims to Increase Protections for Financial Industry Whistleblowers
  • Epstein Becker Green
  • USA
  • March 8 2016

On February 25, 2016, Congressman Elijah E. Cummings (D-MD) and Senator Tammy Baldwin (D-WI) introduced the Whistleblower Augmented Reward and


An Introduction to the Commodity Futures Trading Commission’s Whistleblower Program
  • Katz Marshall & Banks LLP
  • USA
  • March 4 2016

For the time being, it might be helpful to think of the Commodity Future Trading Commission's whistleblower reward program as the younger sibling of