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More US Regulators Make LIBOR Transition Preparedness an Examination Priority

USA - January 17 2020 Within the last week, both the US Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) and the...

J. Paul Forrester.

SEC Publishes Guidance on the Proxy Voting Responsibilities of Investment Advisers

USA - September 6 2019 On August 21, 2019, the US Securities and Exchange Commission (SEC) published guidance on the proxy voting responsibilities of investment advisers...

Stephanie M. Monaco, Adam D. Kanter.

Reverse inquiries-structured and market-linked product news for inquiring minds

USA - June 27 2019 The Alternative Reference Rates Committee (“ARRC”) held a roundtable on June 3, 2019. The ARRC hosted a number of industry participants, and the...

Stephanie M. Monaco, Anna T. Pinedo, Bradley Berman, Hanwen Zhang, Michael D. Russo.

SEC publishes final interpretation of investment adviser standard of conduct

USA - June 14 2019 On June 5, 2019, the SEC published an interpretation of the standard of conduct for investment advisers under the Investment Advisers Act of 1940...

Stephanie M. Monaco.

Model Risk Strikes Again: SEC Imposes $3 Million Fine Due to Error in Computer Model

USA - April 24 2019 On April 19, 2019, the US Securities and Exchange Commission (SEC) published a settled administrative proceeding against Prosper Funding LLC...

Stephanie M. Monaco, Reginald R. Goeke.