The Market Misconduct Tribunal (MMT) delivered its decision in CITIC Limited (formerly CITIC Pacific) case on April 10, 2017.  The MMT found that none of the executive directors at the re...

As expected, the DOL has officially delayed the applicability date of the fiduciary rule to June 9, 2017 (the rule was originally scheduled to become applicable on April 10, 2017). In a s...

IN THIS ISSUE: Introduction Cross-border models for financial services Societas Europea and cross-border mergers    On March 29th, 2017, the UK delivered a letter from the UK Pri...

On March 28, 2017, President Trump signed a sweeping executive order aimed at rolling back signature portions of the Obama administration’s climate change agenda. Framed as a series of ...

The SEC has raised the annual gross revenue cap for a company to qualify as an emerging growth company, or EGC, from $1 billion to $1.07 billion, to adjust for inflation. The Jumpstart Ou...

The growth of holding annual meetings online (virtual-only meetings) by more than 150 companies last year, up from 21 five years ago, has agitated some investors. The New York City Comptr...

Continuing its regulatory focus on cross-border audits on both the inspection and enforcement fronts, the PCAOB announced on March 29, 2017 that it had settled charges against two former ...

Several companies excluded proposals this season related to their receipt of periodic vote tallies from Broadridge after receiving no-action letter decisions similar to the SEC staff’s ...

Both responding and contributing to the general escalation of tensions between the United States and Iran, a bipartisan group of senators consisting of seven Democrats and seven Republica...

SEC Rules and Regulations Division of Investment Management Grants No-Action Relief to the Investment Adviser Association under Custody Rule Industry Update SEC Division of Investme...