Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights July 29, 2016 Client Update SEC Proposes New and Enhanced Order Handling Disclosure Requirements On July 13, 2016, the Securities and Exchange Commission (“SEC”) proposed amendments (the “Proposal”) to Rule 606 ... July 28, 2016 Client Update SEC Staff Rejects No-Action Letter Request on Proposal to Revise Existing Proxy Access Bylaw In what appears to be the first of its kind, the SEC staff has determined that a company cannot exclude a proposal that a ... July 28, 2016 Articles & Books TCH Releases White Paper on the Custody Services Provided by Banks On July 28, 2016, The Clearing House issued a white paper, The Custody Services of Banks, which describes the role of bank... July 27, 2016 Client Update FINRA Proposes Reporting Requirements for Treasury Securities In July 18, 2016, FINRA filed with the SEC a proposal that would expand the TRACE reporting rules to require FINRA members... July 26, 2016 Client Update Investment Management Regulatory Update – July 2016 SEC Rules and Regulations SEC Issues Proposed Rule Regarding Adviser Business Continuity and Transition Plans Industry U... July 26, 2016 Client Update MSCI Pay Report Finds Misalignment Between Reported Pay and Shareholder Returns A new MSCI report reviewed 429 large-cap U.S. companies from 2006 to 2015 and found that, on a 10-year cumulative basis, t... July 22, 2016 Client Update Issue 2: Lex et Brexit — The Law and Brexit IN THIS ISSUE: News and calendar Clearing of euro-denominated securities The UK’s anti-money laundering regime Sinc... July 22, 2016 Client Update Issue 2: Lex et Brexit — The Law and Brexit IN THIS ISSUE: News and calendar Clearing of euro-denominated securities The UK’s anti-money laundering regime Sinc... July 22, 2016 Client Update Commonsense Corporate Governance Principles Issued A group of twelve CEOs, including JPM, Berkshire Hathaway, GE, GM, Verizon and those from major institutional investors su... July 22, 2016 Client Update Issue 2: Lex et Brexit — The Law and Brexit IN THIS ISSUE: News and calendar Clearing of euro-denominated securities The UK’s anti-money laundering regime Sinc... Load More
July 29, 2016 Client Update SEC Proposes New and Enhanced Order Handling Disclosure Requirements On July 13, 2016, the Securities and Exchange Commission (“SEC”) proposed amendments (the “Proposal”) to Rule 606 ...
July 28, 2016 Client Update SEC Staff Rejects No-Action Letter Request on Proposal to Revise Existing Proxy Access Bylaw In what appears to be the first of its kind, the SEC staff has determined that a company cannot exclude a proposal that a ...
July 28, 2016 Articles & Books TCH Releases White Paper on the Custody Services Provided by Banks On July 28, 2016, The Clearing House issued a white paper, The Custody Services of Banks, which describes the role of bank...
July 27, 2016 Client Update FINRA Proposes Reporting Requirements for Treasury Securities In July 18, 2016, FINRA filed with the SEC a proposal that would expand the TRACE reporting rules to require FINRA members...
July 26, 2016 Client Update Investment Management Regulatory Update – July 2016 SEC Rules and Regulations SEC Issues Proposed Rule Regarding Adviser Business Continuity and Transition Plans Industry U...
July 26, 2016 Client Update MSCI Pay Report Finds Misalignment Between Reported Pay and Shareholder Returns A new MSCI report reviewed 429 large-cap U.S. companies from 2006 to 2015 and found that, on a 10-year cumulative basis, t...
July 22, 2016 Client Update Issue 2: Lex et Brexit — The Law and Brexit IN THIS ISSUE: News and calendar Clearing of euro-denominated securities The UK’s anti-money laundering regime Sinc...
July 22, 2016 Client Update Issue 2: Lex et Brexit — The Law and Brexit IN THIS ISSUE: News and calendar Clearing of euro-denominated securities The UK’s anti-money laundering regime Sinc...
July 22, 2016 Client Update Commonsense Corporate Governance Principles Issued A group of twelve CEOs, including JPM, Berkshire Hathaway, GE, GM, Verizon and those from major institutional investors su...
July 22, 2016 Client Update Issue 2: Lex et Brexit — The Law and Brexit IN THIS ISSUE: News and calendar Clearing of euro-denominated securities The UK’s anti-money laundering regime Sinc...