Stephanie M. Monaco

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OCIE’s 2020 Examination Priorities: Variations on Recurring Themes

USA - January 23 2020 The US Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released its 2020 examination...

Leslie S. Cruz.

REVERSEinquiries, Volume 2, Issue 10

USA, United Kingdom - November 5 2019 The London Interbank Offer Rate (LIBOR) was considered the most banal reference point in modern finance until 2012 when it was discovered that the...

Steven D. Garden, Russell Nance, Anna T. Pinedo, Bradley Berman, Thomas A. Humphreys, Brennan W. Young, Alexandra Perry, Marla L. Matusic, Matthew F. Kluchenek, Marlon Paz, Ansley H. Schrimpf, Kyle P. Swan, Mark H. Leeds.

FINRA Provides New Reg. BI and Form CRS Resource

USA - November 1 2019 On October 8, 2019, the Financial Industry Regulatory Authority (FINRA) published a new resource to assist its member firms in their efforts to...

Marlon Paz, Kyle P. Swan.

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...

Leslie S. Cruz, 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...

Anna T. Pinedo, Bradley Berman, Hanwen Zhang, Michael D. Russo, Leslie S. Cruz.