Rules and Regulations SEC Adopts Regulation Best Interest, Form CRS and Interpretive Releases Related to an Investment Adviser’s Fiduciary Duty and the “Solely Incidental” Prong o...

In his final speech to the FIA, Chairman Giancarlo last week discussed three cross border swaps proposals that he will schedule for Commission consideration before he steps down on July 1...

The California Consumer Privacy Act comes into force on January 1, 2020, and will impact many companies that collect or process personal data of California residents, expanding compliance...

The Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) are increasing their focus on crypto assets and decentralized financial technologi...

Financial services regulatory reform continues to evolve in 2019.  As we observe the changing landscape, here is the Summer Spotlight Edition of our reference tool, which provides context...

As summer gets underway, we have updated our brief deck summarizing the leadership and staffing changes among federal financial regulators, including announced nominations, confirmations...

Section 6751(b) of the tax code requires written approval by an IRS supervisor after an initial determination by an agency employee to assess a penalty on a taxpayer. The broad language o...

Rules and Regulations SEC Staff Grants No-Action Relief Allowing Community Capital Management to Serve as Investment Adviser for a Period of Time Without a Majority Vote Industry Update...

Industry Update Chairman Jay Clayton Provides Remarks at the “SEC Speaks” Conference Commissioner Peirce Speaks at SEC Speaks: SECret Garden How We Protect Retail Investors: Director...

There are two kinds of guidances, according to recently appointed Principal Deputy Associate Attorney General Claire McCusker Murray, which should be treated quite differently.[1]  Her ex...