Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights December 22, 2016 Client Update SEC Announces Two Enforcement Actions Regarding Restrictive Language in Severance Agreements The SEC issued two orders concerning violations of Exchange Act Rule 21F-17 this week. On December 19, the Commission iss... December 12, 2016 Client Update Predictions on Possible Changes to and Timing of the Dodd-Frank Executive Compensation Provisions With President-elect Donald Trump’s transition underway, speculation has been rife as to the impact of his Administratio... November 22, 2016 Client Update Investment Management Regulatory Update - November 2016 Industry Update OCIE Director Wyatt Addresses National Society of Compliance Professionals 2016 National Conference SEC A... November 17, 2016 Client Update The Trump Transition and Possible Directions for Financial Regulatory Reform President-Elect Trump’s transition website promises to “dismantle the Dodd-Frank Act and replace it with new policies ... October 31, 2016 Client Update Investment Management Regulatory Update - October 2016 SEC Rules and Regulations SEC Adopts Sweeping Reforms to Enhance Liquidity Risk Management for Mutual Funds and ETFs SEC ... September 28, 2016 Client Update Investment Management Regulatory Update - September 2016 SEC Rules and Regulations SEC Issues Notices of Intent to Issue Orders for Approved FINRA and MSRB Pay-to-Play Rules S... September 13, 2016 Client Update FINRA Establishes New Limited Registration Regime for “Capital Acquisition Brokers,” Including Private Fund Placement Agents The SEC recently approved a FINRA proposal to establish a new limited membership category for broker-dealers engaged solel... September 1, 2016 Client Update Issue 5: Lex et Brexit — The Law and Brexit IN THIS ISSUE: Introduction Brexit and anti-trust Prospects for the Prospectus Directive As we go to press, the UK cabin... August 24, 2016 Client Update Investment Management Regulatory Update – August 2016 SEC Rules and Regulations SEC Staff Grants No-Action Relief under Section 12(d)(3) of the Investment Company Act to the A... August 19, 2016 Client Update Issue 4: Lex et Brexit — The Law and Brexit IN THIS ISSUE: Introduction Brexit – a ‘reset’ of fiscal policy? Brexit’s implications for the regulation of cred... Load More
December 22, 2016 Client Update SEC Announces Two Enforcement Actions Regarding Restrictive Language in Severance Agreements The SEC issued two orders concerning violations of Exchange Act Rule 21F-17 this week. On December 19, the Commission iss...
December 12, 2016 Client Update Predictions on Possible Changes to and Timing of the Dodd-Frank Executive Compensation Provisions With President-elect Donald Trump’s transition underway, speculation has been rife as to the impact of his Administratio...
November 22, 2016 Client Update Investment Management Regulatory Update - November 2016 Industry Update OCIE Director Wyatt Addresses National Society of Compliance Professionals 2016 National Conference SEC A...
November 17, 2016 Client Update The Trump Transition and Possible Directions for Financial Regulatory Reform President-Elect Trump’s transition website promises to “dismantle the Dodd-Frank Act and replace it with new policies ...
October 31, 2016 Client Update Investment Management Regulatory Update - October 2016 SEC Rules and Regulations SEC Adopts Sweeping Reforms to Enhance Liquidity Risk Management for Mutual Funds and ETFs SEC ...
September 28, 2016 Client Update Investment Management Regulatory Update - September 2016 SEC Rules and Regulations SEC Issues Notices of Intent to Issue Orders for Approved FINRA and MSRB Pay-to-Play Rules S...
September 13, 2016 Client Update FINRA Establishes New Limited Registration Regime for “Capital Acquisition Brokers,” Including Private Fund Placement Agents The SEC recently approved a FINRA proposal to establish a new limited membership category for broker-dealers engaged solel...
September 1, 2016 Client Update Issue 5: Lex et Brexit — The Law and Brexit IN THIS ISSUE: Introduction Brexit and anti-trust Prospects for the Prospectus Directive As we go to press, the UK cabin...
August 24, 2016 Client Update Investment Management Regulatory Update – August 2016 SEC Rules and Regulations SEC Staff Grants No-Action Relief under Section 12(d)(3) of the Investment Company Act to the A...
August 19, 2016 Client Update Issue 4: Lex et Brexit — The Law and Brexit IN THIS ISSUE: Introduction Brexit – a ‘reset’ of fiscal policy? Brexit’s implications for the regulation of cred...