Results 16 to 20 of 110

Financial Services Update, Vol. 14, Issue 9

European Union, United Kingdom, USA - March 4 2019 In last week’s feature in Winston’s Financial Services Update, “EU and UK Regulators Brace for No-Deal Brexit,” we provided an update on cooperation…

Basil V. Godellas, James A. Tannock

Financial Services Update, Vol. 14, Issue 6

USA - February 11 2019 Among the many facets of the “Tax Cuts and Jobs Act” of 2017 was the creation of certain beneficial tax-related incentives intended to spur…

Cole Beaubouef, Basil V. Godellas

Financial Services Update, Vol. 14, Issue 5

European Union, USA - February 4 2019 The Financial Industry Regulatory Authority, Inc. (FINRA) recently issued its annual, but renamed, Risk Monitoring and Examination Priorities Letter…

Glen P. Barrentine, Basil V. Godellas

A Tale of Two Crypto Funds

USA - January 29 2019 On September 11, 2018, the Securities and Exchange Commission (SEC) brought its first-ever enforcement action against a crypto-asset hedge fund for…

Basil V. Godellas, Michael L. Loesch, Joseph H. Nesler

Financial Services Update, Vol. 14, Issue 4

United Kingdom, USA - January 28 2019 Last week, the Pennsylvania Department of Banking and Securities (“DoBS”) released guidance (“Guidance”) on the applicability of Pennsylvania’s Money…

John P. Alexander, Basil V. Godellas