Greenberg Traurig LLP | United Kingdom, USA | 30 Mar 2018
The conference began with a one-on-one discussion with SEC Commissioner Clayton. He applauded the agency for its diverse talent and an ability to…
Pillsbury | European Union, OECD, United Kingdom, etc. | 12 Mar 2018
This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with…
Slaughter and May | European Union, United Kingdom | 7 Nov 2017
Artificial intelligence and machine learning - FSB publishes report on financial stability Implications - 1 November 2017 - The Financial Stability…
BakerHostetler | Canada, European Union, Hong Kong, etc. | 20 Sep 2017
Welcome to BakerHostetler’s semi-annual Cross-Border Government Investigations and Regulatory Enforcement Review, with this edition delivering news…
Sidley Austin LLP | Ireland, United Kingdom, USA | 1 Dec 2016
For the last several years, as we have observed in previous editions of the Quarterly, an increasing number of individuals or entities have sought to…
Shearman & Sterling LLP | Germany, Hong Kong, Italy, etc. | 17 Oct 2016
On 15 September 2016, the European Parliament resolved to adopt amendments to the European Commission's proposal for a new Prospectus Regulation to…
BakerHostetler | European Union, United Kingdom, USA | 14 Sep 2016
The U.S. government has continued its aggressive enforcement of U.S. securities laws against individuals and entities located outside the U.S. for…
HFW | European Union, United Kingdom | 18 Jul 2016
Although the UK has voted to leave the EU, it remains part of the EU for the immediate future. Furthermore, under most models for the UK's future…
Winston & Strawn LLP | United Kingdom, USA | 15 Jun 2015
Daniel Sibears, Executive Vice President for Regulatory Operations at the Financial Industry Regulatory Authority (“FINRA”), gave a speech at a…
Dorsey & Whitney LLP | Hong Kong, United Kingdom, USA | 1 Dec 2013
This week the SEC and the DOJ filed FCPA Actions against oil services company Weatherford International. The company became the newest member of the…