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The SEC recently voted to adopt amendments to Rule 606 of Regulation NMS (the “Final Rule”) that expand broker-dealers’ disclosure obligations with regard to how they handle investo...
Cryptocurrency fraud and schemes against mom-and-pop retail investors may consume the limelight and make for good press, but the SEC enforcement division’s annual report also highlights...
IN THIS ISSUE:
A UK-EU partnership in financial services? Implications of the draft Withdrawal Agreement and Political Declaration
UK contingency planning for financial services in the e...
On November 19, 2018, a group of five U.S. federal and state prosecutors and regulators[1] announced that they had reached settlements with Société Générale (“SocGen”) under which...
Rules and Regulations
SEC Proposes Simplified Prospectus Summaries for Variable Annuities and Variable Life Insurance Contracts
Industry Update
Blass Remarks at the Independent Dire...
Through the first two weeks of November, the FTC convened the fifth, sixth and seventh of its Hearings on Competition and Consumer Protection in the 21st Century. Over six days, the prese...
In a pair of settled enforcement actions involving initial coin offerings that the SEC deemed to be illegal unregistered securities offerings, the agency imposed an agreed-upon remedy tha...
Financial services regulatory reform will continue to evolve in 2018 and 2019. As we observe the changing legislative landscape, here is the Post Midterm Election Edition of our referenc...
New ISS Policies. For meetings on or after February 1, 2019, two new and fairly minimal ISS policies will be applied.
As part of ISS’ client roundtables, one-to-one client discussions ...