August 8, 2018 Getting the Deal Through – Financial Services Compliance
June 19, 2018 FCA Publishes the Final Rules for the Premium Listing Segment for Sovereign-Controlled Commercial Companies
Client Memorandum
May 7, 2018 SEC Proposes Enhanced Standards for Advice to Retail Investors
Client Memorandum
January 23, 2018 Six US Market Regulation Predictions for 2018

Financial Times, January 19, 2018

September 27, 2017 Webcast: So, Now You Own a Broker-Dealer!
Regulatory Considerations for Integrating a Brokerage Firm into a Corporate Group
August 10, 2017 D.C. Circuit Raises the Bar on SEC Review of SRO Rule Filings—May Further Slow Pace of Agency Actions
Client Memorandum
May 15, 2017 CFTC’s Project KISS Gets Underway: Giancarlo Makes the First Move
Client Memorandum
April 27, 2017 FINRA Proposes Desk Commentary Safe Harbor
Client Memorandum
March 24, 2017 SEC Approves Move to T+2 Standard Settlement Cycle in September 2017
Client Memorandum
March 1, 2017 DOL Proposes 60-Day Delay of Applicability of Fiduciary Rule
Client Memorandum
December 20, 2016 SEC Approves Consolidated Audit Trail Plan
Client Memorandum
November 11, 2016 FINRA's Approval Requirement: Considerations for Non-US Acquirers of US Broker-Dealers

International Finanancial Law Review, November 2016

September 13, 2016 FINRA Establishes New Limited Registration Regime for “Capital Acquisition Brokers,” Including Private Fund Placement Agents
Client Memorandum
August 22, 2016 SEC Adopts Amendments to Regulation SBSR
Client Memorandum
July 29, 2016 SEC Proposes New and Enhanced Order Handling Disclosure Requirements
Client Memorandum
July 27, 2016 FINRA Proposes Reporting Requirements for Treasury Securities
Client Memorandum
June 24, 2016 Legal Implications of Brexit
Client Memorandum
June 2, 2016 Governance Practices for IPO Companies: A Davis Polk Survey
Client Memorandum
May 25, 2016 Federal Reserve's Proposed Rule on QFCs with U.S. G-SIBs and the U.S. Operations of Foreign G-SIBs
Client Memorandum
May 24, 2016 SEC Adopts Business Conduct Rules for Security-Based Swap Dealers
Client Memorandum
May 2, 2016 Incentive Compensation for Financial Institutions: Reproposal
Client Memorandum
March 9, 2016 CFPB Brings First Ever Data Security Enforcement Action: Review and Analysis
Client Memorandum
March 2, 2016 FDIC and SEC Propose Rules to Implement the Provisions for Covered Broker-Dealers under Title II of Dodd-Frank
Client Memorandum
January 14, 2016 Rules Regarding the Use of Derivatives
The Latest SEC Proposed Derivatives Rules and How They Can Impact Your Business
November 6, 2015 CFTC’s Clearinghouse Exemptive Regime
International Financial Law Review
September 30, 2015 CFTC Modifies Proposed Aggregation Standards for Owned Entities under its Position Limit Rules
Client Memorandum
August 27, 2015 New FINRA Equity and Debt Research Rules
Client Memorandum
August 17, 2015 Foreign Bank Cross-Border Trading under the Volcker Rule: the “Trading Outside the United States” Exemption’s Incongruous Consequences
Columbia Law School’s Blue Sky Blog
June 24, 2015 SEC and CFTC Turn to Swaps and Security-Based Swaps Enforcement
Client Memorandum
March 30, 2015 SEC Adopts Final Regulation A+ Rules
Client Memorandum
March 24, 2015 Implications of the SEC’s Plans to Amend Rule 15b9-1
Traders Magazine
January 20, 2015 Impacts and Implications of the CFTC’s Emerging Clearinghouse Exemptive Program
Traders Magazine
January 19, 2015 Placee Independence – Key Takeaways from the Latest SFC Disciplinary Actions
Client Memorandum
January 5, 2015 Regulatory Predictions for 2015
Financial Times
December 17, 2014 Swaps Pushout Provision Amended: Pushout Requirement in Section 716 Now Limited to Certain ABS Swaps
Client Memorandum
December 11, 2014 FINRA Proposes to Amend Existing Equity Research Rules and Establish New Debt Research Rule
Client Memorandum
November 7, 2014 Risk Governance: Visual Memorandum on Final Guidelines Issued by the OCC
Client Memorandum
October 30, 2014 FINRA Proposes New "CARDS" Data Collection System
Client Memorandum
October 15, 2014 CFTC Re-Proposes Uncleared Swap Margin Rules
Client Memorandum
October 13, 2014 FINRA Files New Rules Governing Member Payments to Unregistered Persons
Client Memorandum
July 3, 2014 SEC Adopts Security-Based Swap Cross-Border Definitional Rule
Client Memorandum
July 2, 2014 Key Questions Raised by the CFTC’s Plans for Non-US CCPs
A version of this article was first published in Risk Magazine on June 24, 2014.
June 10, 2014 Webcast: FCPA: 2014 Mid-Year Review of Trends and Global Enforcement Actions
June 4, 2014 Second Circuit Vacates Judge Rakoff’s Rejection of Consent Settlement in SEC v. Citigroup Global Markets
Client Memorandum
May 16, 2014 SEC Proposes Recordkeeping, Reporting and Notification Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
Client Memorandum
April 8, 2014 Clearinghouse Regulatory Basics for Swap Market Participants
Global Capital
March 24, 2014 Targeted Returns Under FINRA's Communication Rules
New York Law Journal
January 21, 2014 Revised Basel III Leverage Ratio: Visual Memorandum
Client Memorandum
January 14, 2014 Regulation A+: A Middle Way?
Client Memorandum
January 8, 2014 SEC Approves New FINRA Supervision Rules
Client Memorandum

Pages

Resources Search: