Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights March 11, 2013 Client Update An Asset Manager’s Guide to Swap Trading in the New Regulatory World As a result of the Dodd-Frank Act, the over-the-counter derivatives markets have become subject to significant new regulat... March 1, 2013 Articles & Books Designation of Asset Managers and Funds As Systemically Important Non-Bank Financial Institutions: Process and Industry Implications: Part 1 of 2 While Washington’s power to regulate large banks and insurance companies as systemically important financial institution... February 27, 2013 Client Update Investment Management Regulatory Update - February 2013 SEC Rules and Regulations SEC Issues Guidance on New Iran Disclosure Requirements SEC Extends No-Action Relief to Bro... February 25, 2013 Client Update Basel Committee and IOSCO Release Second Consultative Paper on Uncleared Derivatives Margin The Basel Committee on Banking Supervision (“BCBS”) and the International Organization of Securities Commissions (“I... February 15, 2013 Client Update FINRA Requests Comment on Proposed Rules Governing Markups, Commissions and Fees On January 31, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued a Regulatory Notice requesting comme... February 12, 2013 Articles & Books New Committees Can Help Boards Tackle Tough January 24, 2013 Articles & Books CCOs Must Take Heed of Morgan Keegan Valuation Case January 23, 2013 Client Update FINRA Issues Voluntary Interim Form for Crowdfunding Portals On January 10, 2013, the Financial Industry Regulatory Authority (“FINRA”) announced that it is inviting prospective c... January 22, 2013 Client Update Investment Management Regulatory Update - January 2013 SEC Rules and Regulations SEC Lifts Moratorium on Approving Actively Managed ETFs That Invest in Derivatives SEC Exte... January 3, 2013 Client Update SEC Adopts New Obligations for Broker-Dealers Regarding Lost Securityholders and Unresponsive Payees On December 21, 2012, the SEC unanimously adopted rules required by the Dodd-Frank Act that require broker-dealers and cer... Load More
March 11, 2013 Client Update An Asset Manager’s Guide to Swap Trading in the New Regulatory World As a result of the Dodd-Frank Act, the over-the-counter derivatives markets have become subject to significant new regulat...
March 1, 2013 Articles & Books Designation of Asset Managers and Funds As Systemically Important Non-Bank Financial Institutions: Process and Industry Implications: Part 1 of 2 While Washington’s power to regulate large banks and insurance companies as systemically important financial institution...
February 27, 2013 Client Update Investment Management Regulatory Update - February 2013 SEC Rules and Regulations SEC Issues Guidance on New Iran Disclosure Requirements SEC Extends No-Action Relief to Bro...
February 25, 2013 Client Update Basel Committee and IOSCO Release Second Consultative Paper on Uncleared Derivatives Margin The Basel Committee on Banking Supervision (“BCBS”) and the International Organization of Securities Commissions (“I...
February 15, 2013 Client Update FINRA Requests Comment on Proposed Rules Governing Markups, Commissions and Fees On January 31, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued a Regulatory Notice requesting comme...
January 23, 2013 Client Update FINRA Issues Voluntary Interim Form for Crowdfunding Portals On January 10, 2013, the Financial Industry Regulatory Authority (“FINRA”) announced that it is inviting prospective c...
January 22, 2013 Client Update Investment Management Regulatory Update - January 2013 SEC Rules and Regulations SEC Lifts Moratorium on Approving Actively Managed ETFs That Invest in Derivatives SEC Exte...
January 3, 2013 Client Update SEC Adopts New Obligations for Broker-Dealers Regarding Lost Securityholders and Unresponsive Payees On December 21, 2012, the SEC unanimously adopted rules required by the Dodd-Frank Act that require broker-dealers and cer...