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The Shape of Things to Come: OCIE Announces Examination Priorities for 2016

USA - January 13 2016 The staff of the Securities and Exchange Commission (the “SEC”) recently published a summary of the select priorities of the SEC’s Office of...

Jim Pastore, Kenneth J. Berman, Michael P. Harrell, Gregory T. Larkin, Robert B. Kaplan.


Compliance Issues FinTech Firms (and FinTech Investors) Should Be Focused on in 2016

USA - January 12 2016 Financial technology (“FinTech”) firms come in all shapes and sizes, and face a wide variety of issues in the course of their operations...

Jeewon Kim Serrato, Max Shaul, Brandon C. Gruner, Samuel E. Proctor, David A. Luigs.


The CFPB Eyes Mobile Financial Services

USA - December 17 2015 Last month, the Consumer Financial Protection Bureau (the “CFPB” or “Bureau”) released a report regarding the use of mobile financial services...

Ebunoluwa A. Taiwo, Gabriel W. Lezra, David A. Luigs.


SEC proposes enhanced disclosure and oversight rules for alternative trading systems

USA - December 3 2015 On November 18, 2015, the Securities and Exchange Commission ( the “SEC” ) announced proposed rules (the “Proposed Rules”) to enhance operational...

Camden W. Williams, Zila Reyes Acosta-Grimes.


Questions stemming from FINRA’s best execution guidance

USA - December 2 2015 On November 20, 2015, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 15-46 entitled “Guidance on Best Execution...

Camden W. Williams.