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Industry Update
SEC Launches Investor Protection Search Tool
Dalia Blass Remarks at the 2018 PLI Investment Management Institute
Jay Clayton: The Evolving Market for Retail Investment Se...
The Main Street Investors Coalition wants retail investors to have more influence in combating the rise of passive investors. Retail investors own about 30% of stock issued by U.S. compa...
Six shareholder proposals are on ballots this season asking for increased board diversity, or disclosure about board diversity.
Amazon’s proposal asks the board to adopt a policy requi...
This visual memorandum describes the key changes the Bipartisan Banking Act – which the House passed today – makes to the regulation of banking organizations. The Economic Growth, Reg...
On May 11, 2018, the customer due diligence rule, 31 C.F.R. § 1010.230 (the “CDD Rule”), issued by the Financial Crimes Enforcement Network (“FinCEN”) became applicable two years...
As mid-year 2018 approaches, we have updated our brief deck summarizing the leadership and staffing changes among federal financial regulators, including announced nominations and resigna...
Notwithstanding the venerable status of the attorney-client privilege and the important purposes it serves, the federal banking regulators and the Consumer Financial Protection Bureau hav...
The SEC staff recently updated Compliance and Disclosure Interpretations (C&DIs) on the proxy rules and Schedules 14A/C. We understand that the SEC staff intends to review and change oth...
On May 9, 2018, in remarks to the New York City Bar Association’s Seventh Annual White Collar Crime Institute, Deputy Attorney General Rod Rosenstein announced a new Department of Justi...
The increased emphasis by the prudential banking agencies on recovery planning is evidenced by the Comptroller’s recent publication of a new recovery planning module for the Comptroller...