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On December 18, the SEC proposed rules that would require resource extraction companies to disclose payments made to foreign governments or to the U.S. federal government for the commerci...
On 12 December 2019, the UK Financial Conduct Authority issued its Final Notice against Kevin Gorman, a senior employee of Braemar Shipping Services plc, for failing to notify Braemar and...
On December 10, 2019, the CFTC reopened the comment period for the proposed capital requirements for swap dealers and major swap participants that are not subject to the capital rules of ...
On December 30, 2019, the United States Court of Appeals for the Second Circuit affirmed the convictions of four individuals charged with disclosing and trading on nonpublic government in...
Financial services regulatory reform will continue to be active in 2020, with developments percolating in all three branches of government. As we observe the changing landscape, here is ...
As we enter the new year, we have updated our roster of federal financial regulatory leadership, including announced nominations, confirmations, resignations and expiring terms. The fir...
The SEC staff recently provided guidance for companies on disclosing risks to their intellectual property, technology and data arising from international operations, particularly in juris...
Rules and Regulations
SEC Proposes Amendments to Modernize the Advertising and Cash Solicitation Rules
SEC Proposes to Modernize Regulation of Derivatives Use by Registered Funds
SE...
Rules and Regulations
SEC Proposes Amendments to Modernize the Advertising and Cash Solicitation Rules
SEC Issues FAQs for Form CRS
CFTC Adopts Amendments to Commodity Pool Operator...
On December 16, 2019, the IRS issued proposed regulations under Section 162(m) of the Internal Revenue Code, which generally have the effect of limiting the tax deductibility of a public ...