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Financial Services Update, Vol. 13, Issue 38

USA, European Union - October 18 2018 In an October 3, 2018 speech, Steven Peikin, the SEC Co-Director of Enforcement, expressed concern that many critics tend to evaluate the SEC’s...

Jay B. Gould, Basil V. Godellas.


Financial Services Update, Vol. 12, No. 41

USA - October 30 2017 Last week, the Securities and Exchange Commission (“SEC”) approved a proposal submitted by the Public Company Accounting Oversight Board (“PCAOB”)...


Financial Services Update, Vol. 12, Issue 22

USA, United Kingdom, European Union - June 5 2017 On June 1, in the wake of the Department of Labor’s (“DOL”) announcement that it would not seek to delay further the June 9 effective date of the...

Jay B. Gould, Basil V. Godellas.


Financial Services, Vol. 12, Issue 4

USA, United Kingdom, European Union - January 30 2017 On January 26, Sen. Sherrod Brown (D-Ohio), a ranking member of the Senate Banking Committee, and Rep. Maxine Waters (D-Calif.), a ranking member of...

Jay B. Gould, Basil V. Godellas.