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DOL Fiduciary RuleRecommended Action for Private Fund Managers
  • Pillsbury
  • USA
  • June 13 2017

On June 9, 2017, the Department of Labor (DOL) regulation updating the definition of “fiduciary” for purposes of ERISA became effective, along with a


FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
  • K&L Gates
  • USA
  • March 9 2017

On February 10, 2017, the Financial Industry Regulatory Authority, Inc. (“FINRA”) requested comments on proposed amendments to Rule 2210


Money talks: NY DOL adopts regulations on employee discussion of wages
  • Seyfarth Shaw LLP
  • USA
  • February 23 2017

New regulations from the NY Department of Labor clarify employers’ ability to limit employees’ discussion of wages


SEC Whistleblower Update: New Enforcement Actions for ‘Chilling’ Language in Severance Agreements
  • Schulte Roth & Zabel LLP
  • USA
  • December 22 2016

The Securities and Exchange Commission (“SEC”) continues to actively enforce Rule 21F-17 under the Securities Exchange Act of 1934, which provides


De-identificationre-identification - what’s all the fuss about?
  • Maddocks
  • USA, Australia
  • November 8 2016

Recently, Attorney-General George Brandis announced that he intends to introduce to Parliament amendments to the Privacy Act 1988 (Cth) that would


Patent-Agent Privilege and the USPTO’s Proposed New Rule
  • Mintz Levin
  • USA
  • November 1 2016

Several recent court decisions have shed light on the patent agent privilege, and now the U.S. Patent and Trademark Office (USPTO) is seeking to


NSW Government agencies need to get ready for compulsory land acquisition reforms
  • Clayton Utz
  • Australia
  • October 19 2016

NSW Government agencies will need to review and change their compulsory land acquisition processes and get ready for longer time-frames with the


FINRA Revises its Proposed Amendments to Rule 2210
  • Morrison & Foerster LLP
  • USA
  • October 6 2016

In our recent Client Alert, we wrote about the Financial Industry Regulatory Authority, Inc.'s proposed changes to Rule 2210, Communications with the


New ADV Rule
  • Greenberg Traurig LLP
  • USA
  • August 25 2016

Today, the SEC announced the adoption of amendments to several rules under the Investment Advisers Act of 1940 and to Form ADV, the investment


ESMA publishes updated Prospectus Q&A
  • Hogan Lovells
  • European Union
  • August 16 2016

ESMA has published an updated version of its Prospectus Q&As with two new Q&A (version 25). Both relate to the application of the Omnibus II