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Registrants Face Significantly Increased Obligations under Proposed CSA Rule Amendments
  • McCarthy Tétrault LLP
  • Canada
  • July 11 2018

Recently, the Canadian Securities Administrators (CSA) published for comment important rule amendments to National Instrument 31-103 Registration

FINRA Proposes Rule Change To Provide Additional Hearing Options for Parties in Certain Arbitrations
  • Katten Muchin Rosenman LLP
  • USA
  • February 2 2018

On January 30, the Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission to adopt

Financial Services Update, Vol. 12, Issue 22
  • Winston & Strawn LLP
  • USA, United Kingdom, European Union
  • June 5 2017

On June 1, in the wake of the Department of Labor’s (“DOL”) announcement that it would not seek to delay further the June 9 effective date of the

Japan Legal Update Vol.25
  • Jones Day
  • Japan
  • May 25 2017

On April 14, 2017, the House of Representatives passed a bill to partially amend the Civil Code ("Bill"). The Bill is under deliberation in the House

CFTC Proposes to Amend CCO Rules - CFTC Proposes Amendments to Chief Compliance Officer Duties and Annual Reports
  • Sullivan & Cromwell LLP
  • USA
  • May 11 2017

On May 3, 2017, the Commodity Futures Trading Commission (the "CFTC") announced proposed amendments to its rules governing the duties of chief

DOL Publishes Proposal to Delay Fiduciary Rule
  • Steptoe & Johnson LLP
  • USA
  • March 2 2017

Today, the Department of Labor (DOL) published a proposed rule to delay the April 10 applicability date of the final fiduciary rule and related

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 Guidance for Funds Offering Sales Load Variations and New Share Classes
  • Thompson Hine LLP
  • USA
  • January 30 2017

The U.S. Securities and Exchange Commission (SEC) recently offered guidance to mutual funds that are considering variations in sales loads and new

Second Circuit Issues Reversal in Closely Watched Marblegate Case
  • Dechert LLP
  • USA
  • January 24 2017

In a 2-1 opinion, the Second Circuit overruled the district court in Marblegate Asset Management LLC v. Education Management Corp., finding no

DOL Finalizes New Disability Claim Rules for Welfare and Retirement Benefit Plans
  • McDermott Will & Emery
  • USA
  • January 10 2017

The US Department of Labor's Employee Benefit Security Administration (DOL) recently released final rules on claims adjudication of disability claims