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Hogan Lovells | European Union, United Kingdom | 18 May 2020
On 13 May 2020, the Financial Conduct Authority (FCA) published a statement on how firms Should handle post and paper documents during the COVID-19…
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K&L Gates LLP | USA | 11 Apr 2019
On Monday, April 8, 2019, the U.S. Securities and Exchange Commission (“Commission” or “SEC”) signaled the dawn of a new era for traditional active…
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Katten Muchin Rosenman LLP | European Union, USA | 1 Mar 2019
On February 26 and 27, the Council of the European Union and the European Parliament issued statements, respectively, announcing that they had…
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McCarthy Tétrault LLP | Global | 12 Nov 2018
From a public policy perspective, the promise of Fintech is that it can deepen financial markets by delivering banking and payment services to a wider…
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Seyfarth Shaw LLP | USA | 2 Aug 2018
The Delaware Chancery Court issued a decision Monday in a long-running appraisal dispute following Solera Holdings Inc.’s $6.5 billion sale to…
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Schulte Roth & Zabel LLP | USA | 7 Apr 2018
On 7 April 2016, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority's proposed amendments to NASD Rule 1032…
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Dechert LLP | USA | 30 Jan 2018
The Director of the U.S. Securities and Exchange Commission (SEC) Division of Investment Management has outlined concerns of the SEC Staff (Staff)…
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Herbert Smith Freehills LLP | Australia, Hong Kong, USA | 12 Dec 2017
With the year fast drawing to a close, Herbert Smith Freehills' Financial Services Regulatory (FSR) team reflects on the year that was in FSR and…
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K&L Gates LLP | USA | 5 Oct 2017
For several years now, the Securities and Exchange Commission (“SEC”) has placed strict limitations on the composition of exchange-traded fund (“ETF”)…
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Greenberg Traurig LLP | USA | 6 Sep 2017
On Aug. 26, 2017, the Internal Revenue Service (IRS) released Revenue Procedure 2017-50, which liberalizes the time frame for requesting a refund of…