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Hogan Lovells | European Union, United Kingdom | 18 May 2020
FIG Bulletin 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…
K&L Gates LLP | USA | 11 Apr 2019
Precidian and ActiveShares ETFs: The Dawn of a New Era for Active Management
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…
Katten Muchin Rosenman LLP | European Union, USA | 1 Mar 2019
European Parliament and Council of the European Union Reach Agreement on Investment Firms Regulation and Directive
On February 26 and 27, the Council of the European Union and the European Parliament issued statements, respectively, announcing that they had…
McCarthy Tétrault LLP | Global | 12 Nov 2018
The Bali Fintech Agenda: IMF and World Bank Encourage a Principled Growth of Fintech
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…
Seyfarth Shaw LLP | USA | 2 Aug 2018
Delaware Chancery Court Deals Another Blow to Appraisal Arbitrage
The Delaware Chancery Court issued a decision Monday in a long-running appraisal dispute following Solera Holdings Inc.’s $6.5 billion sale to…
Schulte Roth & Zabel LLP | USA | 7 Apr 2018
New FINRA Registration Requirement for Algo Traders Implications for broker dealers and investment advisers
On 7 April 2016, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority's proposed amendments to NASD Rule 1032…
Dechert LLP | USA | 30 Jan 2018
SEC Staff Seeks Industry Engagement on Questions Regarding Development of Funds Holding Cryptocurrency-Related Products
The Director of the U.S. Securities and Exchange Commission (SEC) Division of Investment Management has outlined concerns of the SEC Staff (Staff)…
Herbert Smith Freehills LLP | Australia, Hong Kong, USA | 12 Dec 2017
FSR Insights - 2018 Outlook
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…
K&L Gates LLP | USA | 5 Oct 2017
At the End of the Rainbow: A Custom Basket?
For several years now, the Securities and Exchange Commission (“SEC”) has placed strict limitations on the composition of exchange-traded fund (“ETF”)…
Greenberg Traurig LLP | USA | 6 Sep 2017
IRS Provides More Flexibility for Arbitrage Rebate Refunds
On Aug. 26, 2017, the Internal Revenue Service (IRS) released Revenue Procedure 2017-50, which liberalizes the time frame for requesting a refund of…
