Stephanie M. Monaco
Mayer Brown
Articles
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...
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...
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...
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.
