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337 results found

Article

Cadwalader Wickersham & Taft LLP | USA | 6 Jul 2020

SIFMA Commends Bipartisan Introduction of "LOCAL Infrastructure Act" to Support Municipal Refinancing

SIFMA commended the bipartisan introduction of the Lifting Our Communities through Advance Liquidity for Infrastructure (LOCAL Infrastructure) Act…
Article

Cadwalader Wickersham & Taft LLP | USA | 13 Mar 2020

SIFMA Recommends Changes to the Proposed Volcker Rule's "Covered Funds" Provisions

SIFMA provided several recommendations to improve the "covered funds" provisions of the Volcker Rule. As previously covered, the Federal Reserve…
Article

Cadwalader Wickersham & Taft LLP | USA | 13 Mar 2020

Trade Associations Recommend Changes to CFTC Cross-Border Swap Dealing Proposal

SIFMA, IIB, ISDA, and FIA recommended changes to CFTC-proposed cross-border regulations concerning registration thresholds and certain requirements…
Article

Herbert Smith Freehills LLP | Hong Kong | 24 May 2019

Disclosure of internal investigations - the Hong Kong SFC’s FAQs fail to relieve industry concerns

The Hong Kong Securities and Futures Commission (SFC) has released frequently-asked questions (FAQs) to clarify its Internal Investigation Disclosure…
Article

Macfarlanes LLP | Global | 6 Mar 2019

BCBS/IOSCO gives guidance on the documentation and operational burdens of regulatory initial margin

Yesterday, the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO) gave welcome…
Article

Winston & Strawn LLP | European Union, USA | 4 Feb 2019

Financial Services Update, Vol. 14, Issue 5

The Financial Industry Regulatory Authority, Inc. (FINRA) recently issued its annual, but renamed, Risk Monitoring and Examination Priorities Letter…
Article

Winston & Strawn LLP | United Kingdom, USA | 28 Jan 2019

Financial Services Update, Vol. 14, Issue 4

Last week, the Pennsylvania Department of Banking and Securities (“DoBS”) released guidance (“Guidance”) on the applicability of Pennsylvania’s Money…
Article

Shearman & Sterling LLP | USA | 8 Jan 2019

Supreme Court Will Hear Case Raising Whether A Private Action May Be Brought For Alleged Misrepresentations In Connection With A Tender Offer Under Section 14(e) Of The Exchange Act, Based Only On A Showing Of Negligence, Not Scienter

On January 4, 2019, the United States Supreme Court granted a petition for writ of certiorari concerning whether Section 14(e) of the Securities…
Article

Morgan Lewis & Bockius LLP | USA | 19 Dec 2018

Here We Go Again, Again: SEC Extends AML Relief for Certain Broker-Dealer Requirements

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…
Article

Katten Muchin Rosenman LLP | USA | 16 Dec 2018

Authority of Broker-Dealers to Rely on Investment Advisers for Their Own CIP Obligations Extended by SEC

The Division of Trading and Markets of the Securities and Exchange Commission extended the authority of broker-dealers to rely on investment advisers…
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