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SEC Announces Delay in Form N-PORT Filing Requirements
  • Dechert LLP
  • USA
  • December 15 2017

ONPOINT A legal update from Dechert's Financial Services Group December 2017 SEC Announces Delay in Form N-PORT Filing Requirements The U.S


SEC Acts on Cryptocurrencies and ICOs
  • Baker & Hostetler LLP
  • USA
  • December 14 2017

In the past few years, and particularly in the past few months, cryptocurrencies or digital currencies - most notably bitcoin and ether - have surged


SEC Announces More than $20 Million in Whistleblower Awards
  • Bryan Cave LLP
  • USA, Ireland
  • December 14 2017

In the course of one week, the United States Securities and Exchange Commission announced awards to three whistleblowers totaling more than $20


New FINRA Rules Address Elderly Abuse
  • Burr & Forman LLP
  • USA
  • December 14 2017

On February 5, 2018, FINRA will enact two rules to assist brokers with addressing financial exploitation of the elderly. Statistically, the elderly


DOL Again Delays Implementation of ERISA Fiduciary Rule
  • Pillsbury Winthrop Shaw Pittman LLP
  • USA
  • December 14 2017

The department extends non-enforcement policy until July 1, 2019 and plans to propose a new streamlined class exemption under the Fiduciary rule. The


The SEC Refocuses on Retail Investors
  • McGuireWoods LLP
  • USA
  • December 14 2017

The Financial Industry Regulatory Authority and the states traditionally have handled the bulk of retail brokerage investigations, such as the


Whistle while you work - Whistleblowing...culture, confidentiality and damages
  • Gilbert + Tobin
  • USA, Australia
  • December 13 2017

Australia’s existing whistleblower protection laws have been heavily criticised due to gaps in the legal framework, their limited scope and their


Bridging the FinTech gap: What dividend should we seek from regulatory cooperation across jurisdictions?
  • Herbert Smith Freehills LLP
  • USA, Australia, Hong Kong
  • December 13 2017

Technology-facilitated innovation in financial services, a diverse collection of topics which coalesces under the portmanteau term of "FinTech", is


Government rewards biopharma by declining penalty
  • Squire Patton Boggs
  • USA
  • December 13 2017

In a settlement this week, the government rewards prompt action of a biopharma company by declining a penalty. Although an enforcement action by the


Large Whistleblower Award to Non U.S. Person- Lessons for Anti-Corruption Compliance Programs
  • Pillsbury Winthrop Shaw Pittman LLP
  • USA
  • December 13 2017

On December 5, 2017 the Securities and Exchange Commission (“SEC”) awarded more than $4.1 million to a whistleblower for alerting the SEC to a