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Sidley Austin LLP | USA | 18 Jan 2019

Volcker Rule: agencies propose to implement community bank exemption and revise name-sharing rule

The five US federal agencies responsible for implementing the Volcker Rule have individually released, or are expected to release, a


Pillsbury | USA, United Kingdom, OECD, etc. | 12 Mar 2018

Annual Compliance Obligations What you Need to Know

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with


Baker McKenzie | USA | 25 Aug 2017

Market Compliance Corner August 2017

Chairman Clayton Lays Out Guiding Principles for His Tenure as SEC Chair Prioritizing the evolution of regulation with markets, Jay Clayton announces


Winston & Strawn LLP | USA, United Kingdom, European Union | 5 Jun 2017

Financial Services Update, Vol. 12, Issue 22

On June 1, in the wake of the Department of Labor’s (“DOL”) announcement that it would not seek to delay further the June 9 effective date of the


Squire Patton Boggs | USA | 13 Feb 2017

CHOICE Act 2.0, Insurance Regulation Take Center Stage; DoL Fiduciary Rule May Be Delayed as Other Regulators Review Regs

Last Tuesday, February 7, the House Financial Services Committee held a meeting to approve its Authorization and Oversight Plan (Plan) for the 115th


Squire Patton Boggs | USA | 7 Feb 2017

Executive Order on Financial Regulation and Executive Memorandum on Fiduciary Rule

On February 3, President Trump issued an executive order related to financial services regulatory reform (generally) and an executive memorandum


Winston & Strawn LLP | USA | 6 Feb 2017

Financial Services Update, Vol. 12, Issue 5

Last Friday, February 3rd, President Trump took formal action toward his stated policy of repealing parts of the Dodd-Frank Wall Street Reform and


Morrison & Foerster LLP | USA | 27 Dec 2016

U.S. Regulatory Agenda: What to Expect in 2017 (for Structured Products)

At the end of each of the last several years, we have shared with readers our list of anticipated areas of focus for the coming year. This particular


Bracewell LLP | USA | 20 Jun 2016

CFTC Seeks Comments Regarding ICE Futures U.S. Rules Governing Trading on Non-Public Information After ICE and NYMEX Interpretations Differ on “Pre-Hedging” Block Trades

The Commodity Futures Trading Commission’s (“CFTC”) is seeking comments regarding an amendment (Submission No. 16-67) ICE Futures U.S. (“ICE”) has


Squire Patton Boggs | USA | 25 Apr 2016

Fiduciary Rule and Puerto Rico in Focus for Financial Services Lawmakers; SEC, CFTC, FDIC to Hold Meetings

Last week, on April 19, just one day after Senate Republicans introduced a resolution to disapprove and nullify the Department of Labor’s (DOL)

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