Results 1 to 5 of 59

To ESG or Not: “Damned If You Do, Damned If You Don’t,” at Least in Some US States

USA - August 29 2022 On July 28, 2022, the West Virginia State Treasurer named five banks as the first-listed Restricted Financial Institutions under West Virginia’s…

Leslie S. Cruz, Erin K. Cho, J. Paul Forrester

Fund finance market review - winter 2014

Luxembourg, United Kingdom, USA - January 31 2014 Capital call subscription credit facilities (each, a "Facility") continued their positive momentum in 2013 and had an excellent year as an asset…

Wesley A. Misson, John R. Schmidt, Andrew Stanger, Zachary K. Barnett, Alan Beron, Kiel A. Bowen, Alexandria Carr, Christopher Fisher, Aaron Gavant, Carol A. Hitselberger, Nadav C. Klugman, John F. Lawlor, Michael C. Mascia, Kevin C. McDonald, Craig E. Reimer, Sean T. Scott, J. Robert Stoll

Capital commitment subscription facilities and the proposed liquidity coverage ratio

USA - December 20 2013 On November 29, 2013, the Board of Governors of the Federal Reserve System (FRB), the Office of the Comptroller of the Currency (OCC) and the…

Kiel A. Bowen, J. Paul Forrester, Carol A. Hitselberger, Michael C. Mascia

US SEC Highlights Focus on Cybersecurity in Enforcement Action for Safeguards Rule Violations

USA - July 13 2016 On June 8, 2016, the US Securities and Exchange Commission ("SEC") brought and settled charges against a registered broker-dealer/investment adviser…

Matthew Bisanz, Rajesh De, Stephen Lilley, Jeffrey P. Taft

Social Media Compliance Guide for Issuers, Broker-Dealers, and Advisers

USA - July 9 2018 The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and investment advisers. This Compliance…

Leslie S. Cruz, Bradley Berman, Michael L. Hermsen, Anna T. Pinedo, Jerome J. Roche, Joanne M. Sur-Young