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6,289 results found

Article

Jones Day | USA | 13 Apr 2021

SEC Continues Focus on AML Compliance Obligations

The Securities and Exchange Commission’s Division of Examinations ("EXAMS") released a Risk Alert on March 29, 2021, reminding broker-dealers of their…
Article

Jones Day | USA | 18 Mar 2021

SEC Issues 2021 Examination Priorities

The U.S. Securities and Exchange Commission's ("SEC") Division of Examinations (the "Division") issued its 2021 examination priorities ("2021 Exam…
Article

Schulte Roth & Zabel LLP | USA | 9 Mar 2021

SEC Brings Rare Regulation FD Enforcement Case — Implications for Private Fund Managers and Broker-Dealers

On March 5, 2021, the Securities and Exchange Commission charged AT&T with violating Regulation FD (“Reg FD”) for selectively disclosing material…
Article

Schulte Roth & Zabel LLP | USA | 7 Jan 2021

Passage of Anti-Money Laundering Act of 2020 Includes Comprehensive BSA/AML Reform Measures

On Dec. 31, 2020, as part of the National Defense Authorization Act (“NDAA”), Congress enacted the Anti-Money Laundering Act of 2020 (“AML Act”) and…
Article

Latham & Watkins LLP | USA | 5 Jan 2021

SEC Staff Issues No-Action Relief to Broker-Dealers From Reg BI and Form CRS Obligations Related to Certain Family Offices

The no-action relief applies to family offices with at least US$50 million in total assets (Institutional Family Offices) and requires broker-dealers…
Article

Skadden Arps Slate Meagher & Flom LLP | USA | 21 Dec 2020

Investment Management Retrospective: 2020’s Second Half

In this issue, we provide a summary retrospective of regulatory, litigation and industry developments impacting the investment management sector…
Article

Schulte Roth & Zabel LLP | USA | 14 Dec 2020

SEC Staff Bulletin Highlights AML Risks Associated with Low-Priced Securities Trading in Omnibus Accounts

On Nov. 12, 2020, the staff of the U.S. Securities and Exchange Commission’s (“Commission”) Division of Trading and Markets (“Division Staff”) issued…
Article

Schulte Roth & Zabel LLP | USA | 3 Nov 2020

SEC Touts Twin Goals Served by Form CRS and Reg BI, Advises Investment Advisers to Keep Form CRS Simple

During a roundtable hosted by the SEC on Oct. 26, 2020, Chairman Jay Clayton discussed how Form CRS and Regulation Best Interest (“Reg BI”) together…
Article

Jones Day | USA | 21 Oct 2020

SEC Proposes Conditional Exemption from Broker-Dealer Registration for Finders

In order to facilitate capital formation for small issuers, the SEC has proposed for comment an exemption from the broker registration provisions of…
Article

Hogan Lovells | USA | 14 Oct 2020

SEC proposes narrow broker-dealer registration exemption for finders

The U.S. Securities and Exchange Commission (SEC) proposed a new exemptive order on Wednesday, October 7, which would exempt certain "finders" from…
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