On April 8, 2016 the Department of Labor published controversial final rules significantly expanding the definition of a fiduciary with respect retirement plan accounts for the purposes o...
The SEC adopted Business Conduct Rules for security-based swap dealers on April 14, 2016. The Business Conduct Rules address requirements analogous to those covered by the CFTC’s exter...
Following is the Davis Polk visual memorandum reporting on the proposed rule jointly issued by four of the six Agencies implementing Dodd-Frank Act Section 956 regarding incentive compens...
On April 6, 2016, the U.S. Department of Labor (the “DOL”) issued final regulations expanding the definition of a “fiduciary” with respect to pension and retirement plans, IRAs an...
Following is Davis Polk’s client memorandum on the FDIC’s and the SEC’s proposed rule to implement the provisions applicable to covered broker-dealers under Title II of the Dodd-Fra...
The CFTC recently adopted final uncleared swap margin and segregation requirements. Similarly, the U.S. prudential regulators adopted final margin and segregation requirements for unclear...
In a piece that appeared in the Financial Times’ FT Trading Room on January 8, 2016, Annette Nazareth and Gabriel Rosenberg of Davis Polk’s Financial Institutions Group make their reg...
Since September 30, 2015, 18 rulemaking requirements were finalized and no rulemaking requirements were proposed.
As of the end of the fourth quarter of 2015, a total of 271 Dodd-Frank r...
The Securities and Exchange Commission recently proposed amendments to Regulation ATS and related rules under the Securities Exchange Act of 1934 to impose extensive new transparency requ...
This morning, the Securities and Exchange Commission proposed new measures to govern the use of derivatives by registered investment companies and business development companies. This sum...
