Search
Refine your search
336 results found
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
BCBSIOSCO 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 | USA, European Union | 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 | USA, United Kingdom | 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 | 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
Bressler, Amery & Ross PC | USA | 29 Nov 2018
Adoption Of Uniform Fiduciary Standard Debated At Two Public Hearings Held By The New Jersey Bureau Of Securities
Daniel S. Strashun Related Services Insurance Securities Regulatory Defense and Compliance Following the October 15, 2018 issuance of a Notice of
Winston & Strawn LLP | USA | 5 Nov 2018
Financial Services Update, Vol. 13, Issue 41
On October 31, 2018, the U.S. Commodity Futures Trading Commission (“CFTC”) Office of the Chief Economist (“OCE”) issued a report highlighting the
Sidley Austin LLP | USA | 29 Oct 2018
SEC Issues Landmark Order Rejecting Nasdaq and NYSE Arca Market Data Fee Increases
On October 16, 2018, the five SEC Commissioners unanimously upheld the Securities Industry and Financial Markets Association’s (SIFMA) challenge to
