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A Cryptocurrency and DLT Newsletter – May 8, 2018 Authored by Avi Gesser, Jai R. Massari, Byron B. Rooney, Trevor I. Kiviat, Chad Richman, Zachary B. Shapiro, Mengyi Xu, Daniela Dekhtya...
The SEC recently proposed rules and interpretations seeking to enhance the standard of conduct of broker-dealers and investments advisers when they interact with retail investors. This a...
CFTC Chairman J. Christopher Giancarlo and CFTC Chief Economist Bruce Tuckman released a White Paper on April 26, 2018 that reflects the authors’ personal views on the need for swaps re...
On 24 April 2018, the European Commission (EC) announced a fine of €124.5 million on Altice for implementing its acquisition of PT Portugal before the transaction had been notified and ...
On May 1, 2018, the Department of the Treasury’s Office of Foreign Assets Control (“OFAC”) issued two amended Ukraine/Russia related General Licenses (“GLs”): GL 12B, “Authori...
Last week the U.S. Department of Labor (DOL) issued a bulletin (the Bulletin) on its prior interpretations related to considerations of ESG factors by ERISA plan fiduciaries. Since then ...
Rules and Regulations
Spending Bill Includes Reforms Impacting Business Development Companies
SEC Proposes Enhanced Standards for Advice to Retail Investors
Industry Update
Dalia ...
Davis Polk has submitted a comment letter on the Federal Reserve’s proposed amendments to its guidelines on internal appeals of material supervisory determinations (the Proposal). Whil...
Rules and Regulations
Spending Bill Includes Reforms Impacting Business Development Companies
SEC Proposes Enhanced Standards for Advice to Retail Investors
Industry Update
Dalia ...
On March 28, 2018, the Securities and Exchange Commission (“SEC”) announced settlements with Aegis, Inc. (“Aegis”), a registered broker-dealer, and two of its officers for alleged...