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Robert J. Rhatigan

Dechert LLP

Articles

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SEC Adopts Enhanced Standard of Conduct for Broker-Dealers and Clarifies Fiduciary Duties of Investment Advisers

USA - June 12 2019 The U.S. Securities and Exchange Commission, on June 5, 2019, voted 3-1 in favor of adopting a package of rules, amendments and...

Brian J. McGrady, Jr, K. Susan Grafton, Mark D. Perlow, Christine Ayako Schleppegrell, Albert Jung, Steven Rabitz, Kathleen Hyer, Michael L. Sherman, Andrew L. Oringer.

SEC Provides No-Action Relief from Certain Fund Director In-Person Meeting Requirements

USA - February 4 2019 The Staff of the SEC's Division of Investment Management (Staff) has issued a no-action letter permitting a registered fund's board of directors...

Erica Evans, Douglas P. Dick, Corey F. Rose.

Volcker 2.0: Agencies Propose to Reduce Regulatory Burdens Imposed by the Volcker Regulations

USA - June 15 2018 After a long lead up, the five agencies (Agencies) with responsibility for the regulations that implement the Volcker Rule (Regulations) have issued a...

David J. Harris, Robert H. Ledig.

Congress Applies the Congressional Review Act in a New Way - Voiding CFPB Bulletin on Indirect Auto Lending

USA - June 6 2018 President Trump on May 21, 2018 signed a Joint Resolution passed by Congress that disapproved the Consumer Financial Protection Bureau’s March 21...

David J. Harris, Robert H. Ledig, Thomas P. Vartanian, David L. Ansell.

FinCEN Issues FAQs for Customer Due Diligence Rule; Compliance Required in May

USA - April 13 2018 The U.S. Treasury's Financial Crimes Enforcement Network (FinCEN) on April 3, 2018 issued Frequently Asked Questions Regarding Customer Due Diligence...

K. Susan Grafton, Brooke A. Higgs, Thomas C. Bogle.