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122,864 results found

Article

Hall & Wilcox | Australia | 3 Jun 2020

Regulations released to boost ASIC Fintech regulatory sandbox

On 29 May 2020 the Corporations (Fintech Sandbox Australian Financial Services Licence Exemption) Regulations 2020 and the National Consumer Credit…
Article

Winston & Strawn LLP | USA | 3 Jun 2020

CFTC Proposes to Streamline Reporting Requirements for CPOs

On April 14, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved a proposal to amend certain compliance requirements for…
Article

Cooley LLP | USA | 3 Jun 2020

Auditors address non-GAAP financial measures in the context of COVID-19

Is EBITDAC a thing? Yes, according to the FT. This article describes the use of a new non-GAAP metric: “earnings before interest, tax, depreciation…
Article

Herbert Smith Freehills LLP | United Kingdom | 3 Jun 2020

Litigation funder fails in attempt to obtain trading data from the London Stock Exchange

Burford Capital, one of the largest litigation funders, has been in the press regularly since the publication of a series of tweets and opinion…
Audio

Kinstellar | Global | 3 Jun 2020

Asset Yield: The podcast series of Kinstellar Asset Solutions

Welcome to Asset Yield, the podcast series of Kinstellar Asset Solutions, where we interview principal investors, originators, advisors…
Article

Sidley Austin LLP | United Kingdom | 3 Jun 2020

Market Conduct in an Era of Remote Working - UK Financial Conduct Authority Market Watch 63

On 27 May, 2020, the UK Financial Conduct Authority (FCA) published the 63rd edition of its Market Watch newsletter. The newsletter sets out the…
Article

Schulte Roth & Zabel LLP | USA | 2 Jun 2020

SEC Charges Manager with MNPI-Related Compliance Failures

On May 26, 2020, the SEC issued an order against a large private equity sponsor for failing “to implement and enforce” compliance policies sufficient…
Article

Mayer Brown | Global | 2 Jun 2020

IOSCO Reports on its role in Sustainable Finance and that of Securities Regulators

The Board of the International Organization Of Securities Commissions (IOSCO) published its final report on ‘Sustainable Finance and the Role of…
Article

SEC Actions | USA | 2 Jun 2020

Failure to Disclose Conflicts Draws Sanctions for Adviser

The question of whether and how to disclose the payment of 12b-1 and similar fees in connection with the acquisition of mutual fund shares has been…
Article

Schulte Roth & Zabel LLP | USA | 2 Jun 2020

SEC Charges Private Fund Manager with Advertising Rule Violations and Compliance Failures

On April 17, 2020, the SEC settled charges[1] against a registered investment adviser for distributing allegedly misleading advertising materials…
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