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The SEC Refocuses on Retail Investors
  • McGuireWoods LLP
  • USA
  • December 14 2017

The Financial Industry Regulatory Authority and the states traditionally have handled the bulk of retail brokerage investigations, such as the

Treasury’s Third Report on Financial System Regulation Focuses on the Asset Management and Insurance Industries
  • Dechert LLP
  • USA, Global
  • December 4 2017

The U.S. Department of the Treasury (Treasury) recently released a report examining the regulatory framework for the asset management and insurance

FINRA Provides AML Guidance to Members
  • Katten Muchin Rosenman LLP
  • USA
  • December 3 2017

The Financial Industry Regulatory Authority issued guidance to member firms related to their obligations under enhanced due diligence requirements

The EU PRIIPs Regulation for Fund Managers
  • Katten Muchin Rosenman LLP
  • USA
  • December 1 2017

With the vast majority of European Union (EU) regulatory focus recently having been on the Markets in Financial Instruments Directive

First-Time Conversion of a Mutual Fund to a Closed-End Fund
  • Ropes & Gray LLP
  • USA
  • November 30 2017

In an industry first, a mutual fund converted to a closed-end fund with the same investment objective and strategy. As described below, the conversion

Stanford Report Argues Clean Energy Investment Must Triple to Halt Catastrophic Global Warming
  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • USA
  • November 28 2017

The global economy must triple its annual investment in low-emissions technology, from $750 billion per year between 2010 and 2015 to $2.3 trillion

SEC Charges Adviser with Improperly Recommending Higher-Fee Mutual Funds
  • Vedder Price PC
  • USA
  • October 31 2017

On September 14, 2017, the SEC settled charges against SunTrust Investment Services (SunTrust), a dual registered broker-dealer and investment adviser

Treasury Department Urges PrinciplesBased Regulation of Money Managers; Delay of Implementation of Liquidity Risk Management and Fiduciary Rules
  • Morrison & Foerster LLP
  • USA
  • October 31 2017

The U.S. Department of the Treasury's report on asset management and insurance recommends, among other things, a delay in implementation of the SEC's

Relaxation of the Minimum Paid-Up Capital Requirements for Securities and Derivatives Operators
  • Baker McKenzie
  • USA
  • October 18 2017

In August 2017 the Thai SEC issued a hearing paper on the reduction of minimum paid-up capital requirements for securities and derivatives operators

This Week in Washington for October 16, 2017
  • Paul Hastings LLP
  • USA
  • October 16 2017

Since Congress hasn’t had the votes to overturn the Affordable Care Act (Obamacare), the President is taking Executive action. It was reported on