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2,185 results found


McMillan LLP | Canada | 19 Jul 2018

CSA Releases Client-Focused Reforms to NI 31-103 in Response to Client-Registrant Relationship Concerns

On June 21, 2018 the Canadian Securities Administrators (the "CSA") released proposed amendments (the "Proposed Amendments") to National Instrument


Sheppard Mullin Richter & Hampton LLP | USA | 26 Jun 2018

Regulation Best Interest: The SEC’s Responds to the DOL’s Fiduciary Rule

On April 18, 2018, the Securities and Exchange Commission published its proposed Regulation Best Interest. Regulation Best Interest would require


Mayer Brown | USA | 20 Jun 2018

Components of Regulation Best Interest

On April 18, 2018, the Securities and Exchange Commission (SEC) introduced a package of proposals aimed at enhancing the quality and transparency of


McCarthy Tétrault LLP | Canada, Global | 12 May 2018

CSA Proposes Registration Regime for OTC Derivatives Market in Canada

On April 19, 2018, the Canadian Securities Administrators (the “CSA”) published for comment Proposed National Instrument 93-102 Derivatives:


Sidley Austin LLP | USA | 9 May 2018

SEC Proposes New Standard of Care for Broker-Dealers: Overview and Considerations for Investment Professionals

On April 18, 2018, the U.S. Securities and Exchange Commission (SEC) released for comment three proposals intended to enhance the standard of


Dechert LLP | USA | 26 Apr 2018

SEC Proposes Transaction Fee Pilot for NMS Stocks

In the release proposing the 610T Pilot (Proposing Release), the SEC addressed a number of concerns expressed by various market participants and


Katten Muchin Rosenman LLP | USA | 20 Apr 2018

SEC Proposes Best Interest Standard for Broker-Dealers

On April 18, the Securities and Exchange Commission proposed a new rule under the Securities Exchange Act of 1934, creating a standard of conduct for


Morgan Lewis | USA | 20 Apr 2018

SEC Proposes Standards of Conduct for Broker-Dealers, Investment Advisers

In a first step toward developing standards for advice to retail customers, the Securities and Exchange Commission recently proposed rules and


Mintz | USA | 11 Apr 2018

Fifth Circuit Court of Appeals Invalidates the 2016 Final Department of Labor Fiduciary Rule and Related Prohibited Transaction Exemptions

What’s a financial advisor to do? On March 15, 2018, the Fifth Circuit Court of Appeals in Chamber of Commerce of the U.S. v. U.S. Dep’t. of Labor, No


Proskauer Rose LLP | USA | 15 Mar 2018

Tenth Circuit Upholds DOL’s Authority to Impose New Conditions for PTEs and Leaves Door Open for Changes to Fiduciary Rule

The Tenth Circuit recently affirmed the Department of Labor’s authority to impose new conditions for exemption from prohibited transaction rules with

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