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2019 Examination Priorities of SEC Office of Compliance Inspections and Examinations are Announced

USA - December 24 2018 Next year’s examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were...

K. Susan Grafton, Michael L. Sherman, Nicholas DiLorenzo.


Market Participants to Their Corners: Competing Views on Market Data Are on Full Display at the SEC’s Market Data Roundtable

USA - December 19 2018 The Securities and Exchange Commission has solicited the views of exchanges, broker-dealers and investors on a range of questions related to market...

K. Susan Grafton, Ari Abramovitz, Kimberly R. Thomasson, Keunjung Cho, Vince Nguyen.


Inventaire 2018 des obligations réglementaires américaines de reporting pour les asset managers

USA, European Union - February 5 2018 Comme chaque année, nous avons préparé une liste des principales obligations déclaratives ou de reporting réglementaire exigées par les...

Karen L. Anderberg, Audrey Wagner, Michael L. Sherman, Julien Bourgeois, Philip T. Hinkle, David A. Vaughan, Andrew L. Oringer.


Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

USA - January 24 2018 The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose...

Karen L. Anderberg, Audrey Wagner, Michael L. Sherman, Julien Bourgeois, Philip T. Hinkle, David A. Vaughan, Andrew L. Oringer.


FINRA Issues FAQs on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults

USA - January 1 2018 The Financial Industry Regulatory Authority (FINRA) has published frequently asked questions (FAQs) for complying with new FINRA Rule 2165 (Financial...

K. Susan Grafton, Albert Jung.