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While the new rules will not require stock buyback disclosure within one business day as was proposed, they mandate significant new disclosure relating to stock buybacks with no accommoda...
Treasury’s de-risking strategy breaks no new ground and downplays the government’s role in driving financial institutions to de-risk higher-risk customers based on AML/CFT concerns.
The SEC’s amendments to Form PF include new event reporting requirements for large hedge fund advisers within 72 hours of the occurrence of certain events, and for private equity fund a...
The FCA has today published a consultation paper seeking views on major proposed reforms to the UK listing regime, including the creation of a single listing category for shares in commer...
The Financial Stability Oversight Council unanimously approved two proposals for public comment regarding FSOC’s authority to designate nonbank financial companies for Federal Reserve s...
The Federal Reserve and the FDIC reports on their supervision of Silicon Valley Bank and Signature Bank provide insight into potential upcoming shifts in regulatory and supervisory focus.
In this issue, we discuss Risk Alerts issued by the SEC Examinations Division regarding examinations of newly-registered advisers and the safeguarding of customer information at branch of...
In this issue, we discuss Risk Alerts issued by the SEC Examinations Division regarding examinations of newly-registered advisers and the safeguarding of customer information at branch of...
On 25 April 2023, the UK government published its Digital Markets, Competition and Consumers Bill. The Bill proposes to impose additional conduct and reporting requirements on digital com...
The Hong Kong Court of Appeal has reversed a lower court decision holding the Hong Kong Police’s no consent regime in respect of anti-money laundering (AML) suspicious transaction repor...