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Twenty Essex | European Union, United Kingdom | 9 Jul 2021
Investor Protection in Europe: What does the future hold?
In a recent webinar, Laura Rees-Evans (Fietta), Gordon Nardell QC (Twenty Essex), Nikos Lavranos (NL-Investment Consulting) and Ayse Lowe (Bench…
Cadwalader Wickersham & Taft LLP | USA | 24 Jul 2020
Agencies Finalize Orderly Liquidation Rule for Covered Broker-Dealers
The SEC and the FDIC finalized a rule governing the orderly liquidation of "covered broker-dealers" - large broker-dealers that may be subject to…
DLA Piper | USA | 9 May 2019
ISDA 2018 US Resolution Stay Protocol
On July 31, 2018 the International Swaps and Derivatives Association published the ISDA 2018 US Resolution Stay Protocol (the US Protocol). The US…
Matheson LLP | Ireland | 7 Dec 2018
High Court Decision Highlights Need to Understand Blameworthiness of All Wrongdoers Before Settling
On 4 December 2018 the High Court gave judgment on a preliminary issue in favour of the Defendant, HSBC Institutional Trust Services DAC (“HTIE”) in a…
Katten Muchin Rosenman LLP | USA | 26 Aug 2018
NFA Amends Security Futures Risk Disclosure
The National Futures Association proposed amendments to its Interpretive Notice entitled “Risk Disclosure Statement for Security Futures Contracts...
Arent Fox LLP | USA | 30 Mar 2018
RIP BitLicenses? New York Legislator Proposes Potential BitLicense Alternative for Cryptocurrency Users
In an attempt to unite disparate regulatory decisions covering cryptocurrency activity in New York, the New York State Assembly has introduced a new…
Katten Muchin Rosenman LLP | USA | 4 Aug 2017
FINRA and SIPC Agree To Streamline the Annual Report Filing Process for Broker-Dealers
On August 1, the Financial Industry Regulatory Authority and the Securities Investor Protection Corporation (SIPC) announced a services agreement…
Baker & Hostetler LLP | USA | 12 Jan 2017
Statement from the office of Irving H. Picard, SIPA Trustee for the liquidation of Bernard L. Madoff Investment Securities LLC (BLMIS)
The United States Bankruptcy Court for the Southern District of New York today approved the SIPA Trustee's request for an allocation of approximately…
Sidley Austin LLP | USA | 16 May 2016
SEC and FDIC Proposed Rules on the Orderly Liquidation of Certain Large Broker-Dealers
On February 18, the U.S. Securities and Exchange Commission (SEC) and Federal Deposit Insurance Corporation (FDIC) (collectively, the Agencies)…
Dechert LLP | USA | 7 Apr 2016
SEC and FDIC Propose Dodd-Frank Broker-Dealer Resolution Rules
The bridge broker or dealer succeeds to all of registrations and memberships of the covered broker or dealer undergoing liquidation, including: those…
