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Cadwalader Wickersham & Taft LLP | USA | 6 Jul 2020
SIFMA commended the bipartisan introduction of the Lifting Our Communities through Advance Liquidity for Infrastructure (LOCAL Infrastructure) Act…
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Cadwalader Wickersham & Taft LLP | USA | 13 Mar 2020
SIFMA provided several recommendations to improve the "covered funds" provisions of the Volcker Rule. As previously covered, the Federal Reserve…
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Cadwalader Wickersham & Taft LLP | USA | 13 Mar 2020
SIFMA, IIB, ISDA, and FIA recommended changes to CFTC-proposed cross-border regulations concerning registration thresholds and certain requirements…
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Herbert Smith Freehills LLP | Hong Kong | 24 May 2019
The Hong Kong Securities and Futures Commission (SFC) has released frequently-asked questions (FAQs) to clarify its Internal Investigation Disclosure…
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Macfarlanes LLP | Global | 6 Mar 2019
Yesterday, the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO) gave welcome…
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Winston & Strawn LLP | European Union, USA | 4 Feb 2019
The Financial Industry Regulatory Authority, Inc. (FINRA) recently issued its annual, but renamed, Risk Monitoring and Examination Priorities Letter…
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Winston & Strawn LLP | United Kingdom, USA | 28 Jan 2019
Last week, the Pennsylvania Department of Banking and Securities (“DoBS”) released guidance (“Guidance”) on the applicability of Pennsylvania’s Money…
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Shearman & Sterling LLP | USA | 8 Jan 2019
On January 4, 2019, the United States Supreme Court granted a petition for writ of certiorari concerning whether Section 14(e) of the Securities…
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Morgan Lewis & Bockius LLP | USA | 19 Dec 2018
Two years ago, we wondered in our blog post whether the staff of the US Securities and Exchange Commission (SEC) would have to further extend…
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Katten Muchin Rosenman LLP | USA | 16 Dec 2018
The Division of Trading and Markets of the Securities and Exchange Commission extended the authority of broker-dealers to rely on investment advisers…