Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights May 17, 2021 Webinar Fireside chat with NYDFS cyber chief Davis Polk partner Robert Cohen hosts Justin Herring, the New York Department of Financial Services Executive Deputy Super... May 17, 2021 Webinar Fireside chat with NYDFS cyber chief Davis Polk partner Robert Cohen hosts Justin Herring, the New York Department of Financial Services Executive Deputy Super... May 17, 2021 Client Update Broker-dealer assessed $1.5 million penalty for suspicious activity reporting violations relating to cyber intrusions The Securities and Exchange Commission’s recent case against a registered broker-dealer for not filing Suspicious Activi... May 11, 2021 Client Update Proposed guidelines: Who can have a Federal Reserve master account? The Fed’s recent proposal marks the latest development on one of the most important policy questions for the U.S. financ... May 6, 2021 Client Update FCA consultation on rules for SPACs listing in London On 30 April 2021, the Financial Conduct Authority (FCA) published a consultation paper on proposed changes to the Listing ... May 6, 2021 Client Update FCA consultation on rules for SPACs listing in London On 30 April 2021, the Financial Conduct Authority (FCA) published a consultation paper on proposed changes to the Listing ... May 3, 2021 Articles & Books Financial Regulation: Law and Policy Financial Regulation: Law and Policy, Third Edition, Foundation Press, May 2021 This textbook analyzes and compares the ma... May 3, 2021 Articles & Books OTC Derivatives Regulation Under Dodd-Frank: A Guide to Registration, Reporting, Business Conduct, and Clearing Davis Polk partner Gabriel Rosenberg recently co-authored OTC Derivatives Regulation Under Dodd-Frank: A Guide to Registra... April 30, 2021 Client Update Private Equity Regulatory Update – April 2021 Litigation SEC Settles with Investment Adviser Principals Responsible for Alleged Misstatements and Omissions Regarding... April 30, 2021 Client Update Investment Management Regulatory Update – April 2021 Rules and Regulations SEC Staff Statement on Withdrawal and Modification of Staff Letters Related to Rulemaking on Use ... Load More
May 17, 2021 Webinar Fireside chat with NYDFS cyber chief Davis Polk partner Robert Cohen hosts Justin Herring, the New York Department of Financial Services Executive Deputy Super...
May 17, 2021 Webinar Fireside chat with NYDFS cyber chief Davis Polk partner Robert Cohen hosts Justin Herring, the New York Department of Financial Services Executive Deputy Super...
May 17, 2021 Client Update Broker-dealer assessed $1.5 million penalty for suspicious activity reporting violations relating to cyber intrusions The Securities and Exchange Commission’s recent case against a registered broker-dealer for not filing Suspicious Activi...
May 11, 2021 Client Update Proposed guidelines: Who can have a Federal Reserve master account? The Fed’s recent proposal marks the latest development on one of the most important policy questions for the U.S. financ...
May 6, 2021 Client Update FCA consultation on rules for SPACs listing in London On 30 April 2021, the Financial Conduct Authority (FCA) published a consultation paper on proposed changes to the Listing ...
May 6, 2021 Client Update FCA consultation on rules for SPACs listing in London On 30 April 2021, the Financial Conduct Authority (FCA) published a consultation paper on proposed changes to the Listing ...
May 3, 2021 Articles & Books Financial Regulation: Law and Policy Financial Regulation: Law and Policy, Third Edition, Foundation Press, May 2021 This textbook analyzes and compares the ma...
May 3, 2021 Articles & Books OTC Derivatives Regulation Under Dodd-Frank: A Guide to Registration, Reporting, Business Conduct, and Clearing Davis Polk partner Gabriel Rosenberg recently co-authored OTC Derivatives Regulation Under Dodd-Frank: A Guide to Registra...
April 30, 2021 Client Update Private Equity Regulatory Update – April 2021 Litigation SEC Settles with Investment Adviser Principals Responsible for Alleged Misstatements and Omissions Regarding...
April 30, 2021 Client Update Investment Management Regulatory Update – April 2021 Rules and Regulations SEC Staff Statement on Withdrawal and Modification of Staff Letters Related to Rulemaking on Use ...