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Shearn Delamore & Co | Malaysia | 15 Feb 2022
Amendments to Guidelines on Compliance Function for Fund Management Companies
Paragraphs 11.15 and 11.28 of the Guidelines on Compliance Function for Fund Management Companies have been amended due to the liberalisation of the unit trust framework. The revised requirements relate to rebates and soft commissions. This article discusses the key aspects of the amendment.
Lexology PRO | Australia, European Union, United Kingdom, etc. | 29 Jul 2021
Google faces £920 million UK class action over app store rules
Plaintiff law firm Hausfeld is spearheading a proposed class action against Google that seeks almost £1 billion on behalf of 19.5 million UK consumers that allegedly overpaid for in-app content as a result of the company’s application store restrictions.
Lexology PRO | Singapore, United Kingdom | 15 Jun 2021
Singapore chides UK insurance companies over regulatory and compliance failures
Singapore’s financial regulator has reprimanded four financial institutions, including local subsidiaries of UK insurance companies Aviva and Prudential, an Aviva executive and a consultant for breaking compensation rules.
Morgan, Lewis & Bockius LLP | USA | 15 Apr 2019
SEC Officials Discuss Commission’s Accomplishments, Goals, Priorities at ‘SEC Speaks 2019’
Senior officials from the US Securities and Exchange Commission (SEC or the Commission), including current and former commissioners, came together…
Stinson LLP | USA | 10 Apr 2019
SEC Brings Actions Against Fifteen Unregistered Brokers for Their Participation in an Illegal Offering of Microcap Securities
The SEC charged fifteen individuals with acting as unregistered brokers or aiding-and-abetting such activity in connection with Intertech Solutions…
King & Spalding LLP | USA | 4 Apr 2019
Supreme Court Affirms Lorenzo v. SEC, Expanding the Scope of Primary Liability for Securities Fraud
On March 27, 2019, the U.S. Supreme Court issued its decision in Lorenzo v. SEC, affirming the expansive view of the U.S. Securities and Exchange…
Ropes & Gray LLP | USA | 28 Mar 2019
PTAB Speed vs. ITC Speed
Under Section 337 of the Tariff Act of 1930, the International Trade Commission (ITC) is required to conclude its investigations and make…
Mintz | USA | 27 Mar 2019
Commission Reverses Apple Infringement Finding, Thereby Mooting the Public Interest Inquiry...For Now
Yesterday afternoon, the International Trade Commission issued its Final Determination in Certain Mobile Electronic Devices and Radio Frequency and…
Faegre Drinker Biddle & Reath LLP | USA | 27 Mar 2019
SEC Announces First Whistleblower Awards of 2019
The SEC announced yesterday that it has awarded more than $50 million to two whistleblowers—specifically, more than $37 million to one whistleblower…
Seyfarth Shaw LLP | USA | 26 Mar 2019
Commission Decisions Confirm that Employers Must Take Action to Protect Employees from Workplace Violence
In recent decisions—including Secretary of Labor v. Integra Health Management, Inc., No. 13-1124 (OSHRC Mar. 4, 2019)—the Occupational Safety and…
