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Financial Regulatory Developments focus

United Kingdom, European Union - December 17 2018 Basel Committee on Banking Supervision Agrees Next Steps for Basel Standards On November 29, 2018, Central bankers and banking supervisors from over...

Bradley K. Sabel, Tobia Croff, John Adams, Kolja Stehl, Reena Agrawal Sahni, Matthew Readings, Hervé Letréguilly, Jennifer D. Morton, Timothy J. Byrne, Ellerina Teo, Susanna Charlwood, Jenny Ding Jordan, Oliver Linch, Wilf Odgers, Inyoung Song, Jennifer Oosterbaan, Simon Dodds, Philip Urofsky, Barnabas W.B. Reynolds, Thomas Donegan, Russell D. Sacks, Geoffrey B. Goldman, Donna M. Parisi.


OCIE Highlights Investment Adviser Compliance Issues Related to the Cash Solicitation Rule

USA - December 3 2018 In a new Risk Alert, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) highlighted common compliance issues involving Rule 206(4)-3...

Laura S. Friedrich, John D. Reiss, Andrew J. (Buddy) Donohue, Jay G. Baris, John (Sean) Finley.


Financial Regulatory Developments Focus

European Union - November 7 2018 On October 31, 2018, the European Banking Authority published a final report setting out finalized Guidelines on management of non-performing...

Bradley K. Sabel, Tobia Croff, John Adams, Reena Agrawal Sahni, Matthew Readings, Hervé Letréguilly, Susanna Charlwood, Philip Urofsky, Barnabas W.B. Reynolds, Thomas Donegan, Russell D. Sacks, Geoffrey B. Goldman, Donna M. Parisi.


Opportunity Zones: Government Issues Proposed Regulations

USA - October 22 2018 On Friday, October 19, 2018, the Treasury Department and the Internal Revenue Service issued highly-anticipated proposed regulations regarding...

Laura S. Friedrich, Lisa M. Brill, Derek Kershaw, Michael B. Shulman.


SEC Staff Eases Fund Director Burdens

USA - October 16 2018 The Securities and Exchange Commission’s Division of Investment Management has issued a no-action letter confirming that the Division’s Staff would...

Paul S. Schreiber, Thomas M. Majewski, Andrew J. (Buddy) Donohue, Jay G. Baris, Matthew Kutner.