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Fried, Frank, Harris, Shriver & Jacobson LLP advises the world's leading corporations, investment funds and financial institutions on their most…
Fried Frank Harris Shriver & Jacobson LLP | USA | 30 May 2023
CFTC Staff Reminds DCOs of Compliance Obligations on Digital Assets
The CFTC Division of Clearing and Risk staff ("DCR") reminded derivatives clearing organizations ("DCOs") of the heightened compliance risks to those…
Fried Frank Harris Shriver & Jacobson LLP | USA | 30 May 2023
Comment Deadline Set for SEC Proposal on Additional Clearing Agency Margining and Wind-Down Requirements
The comment deadline was officially set for the SEC's proposed (i) amendments to current requirements on clearing agencies' risk-based margin systems…
Fried Frank Harris Shriver & Jacobson LLP | USA | 26 May 2023
OCC Updates Procedures for Monitoring Banks' Liquidity Risk
The OCC updated its guidance for examiners on assessing a bank's liquidity risk management practices. In a revised "Comptroller's Handbook" on…
Fried Frank Harris Shriver & Jacobson LLP | United Kingdom, USA | 26 May 2023
One last roll of the dice to kick-start UK listings and dampen the allure of the US stock markets?
Since the 2008 financial crisis, the number of listed companies in the UK has fallen by 40%, whilst in the past decade the market cap of UK-listed…
Fried Frank Harris Shriver & Jacobson LLP | USA | 26 May 2023
HFSC Approves Bill to Allow Broker-Dealers to Sell Research Without Being Deemed IAs
The House Financial Services Committee voted to approve H.R. 2622, a bill that would amend the Advisers Act to codify expiring SEC no-action relief…
Fried Frank Harris Shriver & Jacobson LLP | USA | 26 May 2023
SEC Grants Further Extension of Exemptive Relief for CAT NMS Plan Implementation
The SEC granted a further extension of the temporary exemptive relief previously issued to national securities exchanges and national securities…
Fried Frank Harris Shriver & Jacobson LLP | USA | 26 May 2023
Broker-Dealer Fined for Overstating Projected Returns on Customer Account Statements
A broker-dealer settled FINRA charges for overstating the projected yield and annual income for nine money market funds on customer account…
Fried Frank Harris Shriver & Jacobson LLP | European Union, USA | 25 May 2023
Cboe Europe to Rely on SEC No-Action Relief for Foreign Options Markets
Cboe Europe notified the SEC of its intent to rely on no-action relief provided by the SEC for foreign options markets, its representatives and…
Fried Frank Harris Shriver & Jacobson LLP | USA | 25 May 2023
Legislators Question SEC IAC Letter Calling All Crypto Tokens "Securities"
Senate Banking Committee Member Bill Hagerty (R-TN) and House Financial Services Committee Chair French Hill (R-AR) question the SEC about a letter…
