Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights October 1, 2014 Articles & Books Barnet and Bemarmara, Chapter 1 Although individual states in the United States have laws that govern the relationship between debtors and their credito... September 30, 2014 Client Update FINRA To Propose Market Structure Actions On September 19, 2014, the Financial Industry Regulatory Authority announced that its Board of Governors approved a series... September 30, 2014 Client Update FinCEN’s Proposed Rule to Enhance Customer Due Diligence Requirements for Financial Institutions – Comments Due October 3, 2014 The Financial Crimes Enforcement Network (“FinCEN”) has recently published a Notice of Proposed Rulemaking (the “Pro... September 30, 2014 Client Update Investment Management Regulatory Update - September 2014 SEC Rules and Regulations SEC Proposes Two-Year Extension of Rule 206(3)-3T SEC Grants No-Action Relief Permitting Inv... September 30, 2014 Client Update UK Sponsor Regime: Rule Changes and Further Consultation The UK’s Financial Conduct Authority (“FCA”) has issued a new consultation paper (CP 14/21) on sponsor competence. T... September 30, 2014 Client Update ISS Releases Policy Survey Responses for 2015 Proxy Season ISS released the results of its policy survey. The responses, from 105 individual institutional investors and 255 members ... September 29, 2014 Articles & Books The Marketplace Awaits Regulation SCI The SEC may soon adopt Regulation SCI, which it proposed in March 2013 in the wake of several high-profile systems problem... September 25, 2014 Client Update SEC Whistleblower Award Demonstrates International Scope of Program The most interesting element of the SEC’s latest whistleblower award, the largest so far at $30 million, may be the leng... September 25, 2014 Client Update Corporate Governance Update: Remuneration and Risk Management Two key publications have recently been issued which are relevant to UK listed companies in terms of their corporate gover... September 23, 2014 Client Update SEC Investor Advisory Committee Tackles Availability of Preliminary Voting Tallies The SEC Dodd-Frank Investor Advisory Committee, established pursuant to Dodd-Frank, has provided notice that it will hold ... Load More
October 1, 2014 Articles & Books Barnet and Bemarmara, Chapter 1 Although individual states in the United States have laws that govern the relationship between debtors and their credito...
September 30, 2014 Client Update FINRA To Propose Market Structure Actions On September 19, 2014, the Financial Industry Regulatory Authority announced that its Board of Governors approved a series...
September 30, 2014 Client Update FinCEN’s Proposed Rule to Enhance Customer Due Diligence Requirements for Financial Institutions – Comments Due October 3, 2014 The Financial Crimes Enforcement Network (“FinCEN”) has recently published a Notice of Proposed Rulemaking (the “Pro...
September 30, 2014 Client Update Investment Management Regulatory Update - September 2014 SEC Rules and Regulations SEC Proposes Two-Year Extension of Rule 206(3)-3T SEC Grants No-Action Relief Permitting Inv...
September 30, 2014 Client Update UK Sponsor Regime: Rule Changes and Further Consultation The UK’s Financial Conduct Authority (“FCA”) has issued a new consultation paper (CP 14/21) on sponsor competence. T...
September 30, 2014 Client Update ISS Releases Policy Survey Responses for 2015 Proxy Season ISS released the results of its policy survey. The responses, from 105 individual institutional investors and 255 members ...
September 29, 2014 Articles & Books The Marketplace Awaits Regulation SCI The SEC may soon adopt Regulation SCI, which it proposed in March 2013 in the wake of several high-profile systems problem...
September 25, 2014 Client Update SEC Whistleblower Award Demonstrates International Scope of Program The most interesting element of the SEC’s latest whistleblower award, the largest so far at $30 million, may be the leng...
September 25, 2014 Client Update Corporate Governance Update: Remuneration and Risk Management Two key publications have recently been issued which are relevant to UK listed companies in terms of their corporate gover...
September 23, 2014 Client Update SEC Investor Advisory Committee Tackles Availability of Preliminary Voting Tallies The SEC Dodd-Frank Investor Advisory Committee, established pursuant to Dodd-Frank, has provided notice that it will hold ...