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43 results found

Article

Shearman & Sterling LLP | United Kingdom, European Union, Global | 30 Nov 2018

Financial Regulatory Developments Focus

UK Parliamentary Committee Launches Inquiry into Operational Resilience in the Financial Services Sector On November 23, 2018, the U.K. Treasury

Article

Shearman & Sterling LLP | USA | 24 Apr 2018

Raising the Bar? SEC Proposes Broker-Dealer Standard of Care and Guidance on Investment Advisers’ Fiduciary Standard

On April 18, 2018, the U.S. Securities and Exchange Commission (“SEC”) took the long-awaited step of proposing rules, interpretations and guidance

Article

Shearman & Sterling LLP | USA | 12 Apr 2017

DOL Finalizes 60-Day Delay of ‘Fiduciary Rule’

On April 4, 2017, the Department of Labor issued a final rule delaying the applicability date of its “fiduciary rule” and related exemptions to June 9

Article

Shearman & Sterling LLP | USA | 30 Nov 2016

What’s Next for the DOL’s ‘Fiduciary’ Rule?

Under consideration for over 15 years, the rule’s applicability date lands shortly after the Republicans gain control of both houses of Congress and

Article

Shearman & Sterling LLP | USA | 14 Nov 2016

The Changing Fiduciary Duty Landscape in a Trump Presidency

The fiduciary standards for institutions and individuals providing investment advice throughout the retail investment and municipal securities markets

Article

Shearman & Sterling LLP | USA | 14 Apr 2016

The US Department of Labor’s Final “Fiduciary” Rule Incorporates Concessions to Financial Service Industry but Still Poses Key Challenges

On April 6th, the US Department of Labor issued its final “fiduciary” rule. Over 800 pages in length and more than 15 years and three iterations in

Article

Shearman & Sterling LLP | USA | 24 Apr 2015

The times are changing: a first look at the DOL’s new fiduciary paradigm

On April 14, 2015, the US Department of Labor (the “DOL”) issued its proposed rule clarifying when individuals and institutions providing advice to

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