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223 results found


Morrison & Foerster LLP | USA | 8 Feb 2018

OCIE Announces Its 2018 Examination Priorities

The SEC's Office of Compliance Inspections and Examinations (OCIE) has published its 2018 examination priorities. Not surprisingly, it will continue


Morrison & Foerster LLP | USA | 31 May 2017

Implementing the DOL Fiduciary Rule

On June 9, 2017, key provisions of the fiduciary rule adopted by the Department of Labor (DOL) will become applicable for most broker-dealers, as well


Morrison & Foerster LLP | USA | 19 May 2017

CFTC Proposes to Amend Chief Compliance Officer Duties and Annual Report Requirements

On May 3, 2017, the Commodity Futures Trading Commission ("CFTC") approved for publication in the Federal Register proposed amendments to its rules


Morrison & Foerster LLP | USA | 9 May 2017

NYSE MKT Proposes Rule Change to Harmonize its Periodic Reporting Requirements with Those of the NYSE

On May 8, 2017, the NYSE MKT issued a proposed rule change to harmonize its periodic reporting requirements with those of the NYSE. Currently, the


Morrison & Foerster LLP | USA | 27 Mar 2017

Top Ten International Anti-Corruption Developments for February 2017

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international


Morrison & Foerster LLP | USA | 23 Mar 2017

New York Cybersecurity Regulations: What Do They Mean and When Do They Mean it By?

The New York State Department of Financial Services (NYDFS) has released guidance for covered financial institutions regarding its cybersecurity rule


Morrison & Foerster LLP | USA | 22 Feb 2017

Practice Pointers: Anticipating and Addressing SEC Comments on Non-GAAP Financial Measures

The use of non-GAAP financial measures by public companies continues to be an area of growing concern for the Securities and Exchange Commission


Morrison & Foerster LLP | USA | 13 Feb 2017

The Future of Investment Management Regulation: What to Expect in 2017

In this fast-changing regulatory environment, the long-term consequences both intended and unintended of recent White House actions remain uncertain


Morrison & Foerster LLP | USA | 9 Feb 2017

OCIE Identifies Top Five Adviser Compliance Issues

In a new Risk Alert, OCIE’s National Exam Program provided investment advisers with insight into the five compliance topics most frequently identified


Morrison & Foerster LLP | USA, United Kingdom, OECD | 29 Aug 2016

Japan Bar Association Issues New Anticorruption Compliance Guidelines

On July 15, 2016, the Japan Federation of Bar Associations (JFBA) issued new guidance for companies on complying with Japanese and other foreign

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