Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights July 28, 2017 Client Update Investment Management Regulatory Update - July 2017 Rules and Regulations SEC Updates Form ADV Frequently Asked Questions Interacting with Retirement Investors under the ... July 27, 2017 Client Update Higher Threshold for Enhanced Prudential Standards Comes into Focus The long conversation about raising the Dodd-Frank $50 billion asset threshold for enhanced prudential standards took a st... July 27, 2017 Client Update SEC Confirms That Some Initial Coin Offerings Are Illegal Unregistered Securities Offerings In a much-anticipated action, on July 25 the SEC issued a Section 21(a) report of its investigation into an offering of di... July 27, 2017 Client Update SEC Confirms That Some Initial Coin Offerings Are Illegal Unregistered Securities Offerings In a much-anticipated action, on July 25 the SEC issued a Section 21(a) report of its investigation into an offering of di... July 26, 2017 Client Update House Passes Sanctions Legislation Against Iran, Russia, and North Korea; Veto Uncertain After several weeks of negotiations between the House and the Senate, on July 25, the House passed by an overwhelming marg... July 26, 2017 Client Update The Proxy Access Battlefront for Next Season? SEC Staff Rejects Attempt to Exclude Proxy Access Shareholder Proposal The 2017 season that just passed witnessed two kinds of proposals asking companies to amend existing proxy access bylaws. ... July 25, 2017 Client Update Comparing the SEC’s Rulemaking Agendas Indicates Potential for Less Rulemaking, but Significant Disclosure Initiatives Remain Like other federal agencies, the SEC recently released its regulatory agenda. The agenda is published by the Office of Inf... July 25, 2017 Client Update Further Extension of CFTC "Arrange, Negotiate, Execute" No-Action Relief The CFTC staff has once again extended its no-action relief from the “arrange, negotiate or execute” provisions of CFT... July 24, 2017 Client Update FCA Consultation on a New Category of Premium Listing for Sovereign Controlled Companies On July 13, 2017, the UK Financial Conduct Authority (the “FCA”) published a consultation paper entitled “Proposal t... July 24, 2017 Client Update FCA Consultation on a New Category of Premium Listing for Sovereign Controlled Companies On July 13, 2017, the UK Financial Conduct Authority (the “FCA”) published a consultation paper entitled “Proposal t... Load More
July 28, 2017 Client Update Investment Management Regulatory Update - July 2017 Rules and Regulations SEC Updates Form ADV Frequently Asked Questions Interacting with Retirement Investors under the ...
July 27, 2017 Client Update Higher Threshold for Enhanced Prudential Standards Comes into Focus The long conversation about raising the Dodd-Frank $50 billion asset threshold for enhanced prudential standards took a st...
July 27, 2017 Client Update SEC Confirms That Some Initial Coin Offerings Are Illegal Unregistered Securities Offerings In a much-anticipated action, on July 25 the SEC issued a Section 21(a) report of its investigation into an offering of di...
July 27, 2017 Client Update SEC Confirms That Some Initial Coin Offerings Are Illegal Unregistered Securities Offerings In a much-anticipated action, on July 25 the SEC issued a Section 21(a) report of its investigation into an offering of di...
July 26, 2017 Client Update House Passes Sanctions Legislation Against Iran, Russia, and North Korea; Veto Uncertain After several weeks of negotiations between the House and the Senate, on July 25, the House passed by an overwhelming marg...
July 26, 2017 Client Update The Proxy Access Battlefront for Next Season? SEC Staff Rejects Attempt to Exclude Proxy Access Shareholder Proposal The 2017 season that just passed witnessed two kinds of proposals asking companies to amend existing proxy access bylaws. ...
July 25, 2017 Client Update Comparing the SEC’s Rulemaking Agendas Indicates Potential for Less Rulemaking, but Significant Disclosure Initiatives Remain Like other federal agencies, the SEC recently released its regulatory agenda. The agenda is published by the Office of Inf...
July 25, 2017 Client Update Further Extension of CFTC "Arrange, Negotiate, Execute" No-Action Relief The CFTC staff has once again extended its no-action relief from the “arrange, negotiate or execute” provisions of CFT...
July 24, 2017 Client Update FCA Consultation on a New Category of Premium Listing for Sovereign Controlled Companies On July 13, 2017, the UK Financial Conduct Authority (the “FCA”) published a consultation paper entitled “Proposal t...
July 24, 2017 Client Update FCA Consultation on a New Category of Premium Listing for Sovereign Controlled Companies On July 13, 2017, the UK Financial Conduct Authority (the “FCA”) published a consultation paper entitled “Proposal t...