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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…
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…
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…
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…
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…
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…
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…
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…
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…
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…
