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Results: 1-10 of 13,809

Embracing the Quasi-Clawback
  • Shearman & Sterling LLP
  • USA
  • April 19 2018

In 2015, the SEC proposed rules implementing Dodd-Frank’s requirement that all listed companies adopt and administer a compensation clawback policy


Governance & Securities Law Focus: Europe Edition, April 2018
  • Shearman & Sterling LLP
  • USA, United Kingdom, European Union, Italy
  • April 18 2018

On 16 January 2018, the European Securities and Markets Authority (ESMA) published an updated version of its practical guide to the national rules


Bank petitions for rehearing of 9th Circuit preemption decision; OCC intends to file support for bank
  • Buckley Sandler LLP
  • USA
  • April 18 2018

On April 13, a national bank filed a petition for an en banc rehearing of the U.S. Court of Appeals for the 9th Circuit’s March decision, which held


Mulvaney Issues Report Outlining Proposals to Reform CFPB
  • Baker & Hostetler LLP
  • USA
  • April 17 2018

Earlier this month, the Consumer Financial Protection Bureau (CFPB) issued its Semiannual Report (the “Report”) to the President and Congress


House Passes Alleviating Stress Test Burdens to Help Investors Act, Which Would Exempt Mutual Funds and Investment Advisers from Dodd-Frank Stress Testing Requirements
  • Vedder Price PC
  • USA
  • April 16 2018

On March 20, 2018, the U.S. House of Representatives passed a bill, referred to as the Alleviating Stress Test Burdens to Help Investors Act (the


US opposes effort of imprisoned trader to have Supreme Court consider overturning conviction for spoofing
  • Katten Muchin Rosenman LLP
  • USA
  • April 15 2018

The Department of Justice opposed the efforts of the first individual convicted of spoofing under a Dodd-Frank law to have the US Supreme Court hear


Broker-Dealer Sanctioned US $1.575 Million by FINRA and Other SROs for Market Access Rule Violations
  • Katten Muchin Rosenman LLP
  • USA
  • April 15 2018

Last week, a broker-dealer was fined US $1.575 million by the Financial Industry Regulatory Authority and other self-regulatory organizations for not


CFPB releases RFI on consumer complaints and inquiries
  • Buckley Sandler LLP
  • USA
  • April 13 2018

On April 11, the CFPB released its twelfth (and apparently final) Request for Information (RFI) in a series seeking feedback on the Bureau’s


FCPA Enforcement and Anti-Corruption Developments: Q1 2018
  • Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • USA
  • April 13 2018

The first quarter of 2018 saw a flurry of declinations of FCPA prosecutions by the DOJ and the SEC, and only one FCPA corporate enforcement resolution


D.C. Circuit Questions English’s Standing to Challenge CFPB Control
  • Seyfarth Shaw LLP
  • USA
  • April 13 2018

The battle for control of the Consumer Financial Protection Bureau (“CFPB”) raged on this Thursday during oral argument before the United States Court