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SEC proposes rules and interpretations to protect retail investors
  • DLA Piper
  • USA
  • May 2 2018

As we reported in last week's Investment Management Alert, the Securities and Exchange Commission has voted to propose a package of rulemaking and


SEC proposes "regulation best interest" rule package, including new disclosure form and investment adviser conduct interpretation
  • DLA Piper
  • USA
  • April 24 2018

The Securities and Exchange Commission held an open meeting on April 18, 2018, during which the Commissioners voted 4 to 1 to release a package of


The Financial Report - Vol 7, No 1 - Discussion and Analysis
  • DLA Piper
  • USA, China, Germany
  • January 17 2018

Given that, in at least much of the country, several weeks of deep freeze are slowly ending in a thaw, we enter 2018 with renewed optimism, eyes wide


The Financial Report - Vol 7, No 1 - Global Regulators
  • DLA Piper
  • Global
  • January 17 2018

The Basel Committee on Banking Supervision published a progress report on its principles for effective supervisory colleges. The report notes that


The Financial Report - Vol 7, No 1 - US Securities and Exchange Commission Developments
  • DLA Piper
  • USA
  • January 17 2018

The SEC adopted final rules that amend certain definitions under Investment Adviser Act Rule 203(l)-1 and Rule 203(m)-1 to reflect changes made by the


The Financial Report - Vol 7, No 1 - News from Europe
  • DLA Piper
  • United Kingdom, European Union
  • January 17 2018

The ECB announced that it has decided on changes to the collateral eligibility criteria applicable to unsecured debt instruments issued by credit


The Financial Report - Vol 7, No 1 - News from the Americas
  • DLA Piper
  • USA, Canada
  • January 17 2018

President Trump signed the Tax Cuts and JOBS Act into law and the SEC published staff guidance to help publicly traded companies, auditors, and others


The Financial Report - Vol 7, No 1 - US Banking and Treasury Department Developments
  • DLA Piper
  • USA
  • January 17 2018

The Federal Reserve, the FDIC, and the OCC announced that, effective January 1, 2018, the aggregate loan commitment threshold for inclusion in the


The Financial Report - Vol 7, No 1 - News from Asia and the Pacific
  • DLA Piper
  • Australia, Singapore, China, Hong Kong, Japan
  • January 17 2018

Updated statistics of the money lending business. The FSA updated the statistics regarding the money lending business, as of December 27, 2017.


The Financial Report - Vol 7, No 1 - US Exchanges and Self-Regulatory Organizations
  • DLA Piper
  • USA
  • January 17 2018

The Financial Industry Regulatory Authority published its 2018 Regulatory and Examination Priorities Letter, which outlines the new and ongoing areas