FINRA Issues Report on Implications of Blockchain -
Broker-Dealer -
On January 18, the Financial Industry Regulatory Authority, responding to increased industry interest in distributed ledger technology (DLT) known...more
2017 Examination Priorities Announced by the SEC -
On January 12, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2017 examination priorities, which seek to...more
SEC/CORPORATE -
President-Elect Trump Nominates Clayton as SEC Chair -
On January 4, President-elect Donald Trump announced his nomination of Jay Clayton to serve as chair of the Securities and Exchange Commission,...more
1/9/2017
/ Derivatives Clearing Organizations ,
Equity Plans ,
EU ,
European Securities and Markets Authority (ESMA) ,
Examination Priorities ,
FFIEC ,
Forex ,
Institutional Shareholder Services (ISS) ,
MiFID II ,
No-Action Relief ,
Trump Administration ,
UK Brexit
SEC/CORPORATE -
Supreme Court Rules on Insider Trading Involving Family and Friends -
In its first insider trading decision in nearly two decades, the US Supreme Court ruled unanimously to uphold an insider trading...more
SEC Issues New C&DI Relating to Submission of Annual Reports to SEC -
On November 2, the Division of Corporation Finance (Division) of the Securities and Exchange Commission issued a new Compliance and Disclosure...more
11/14/2016
/ C&DIs ,
Canada ,
Chief Compliance Officers ,
Corporate Governance ,
EU ,
Forex ,
MiFID II ,
MiFIR ,
Passporting ,
Pay-for-Performance ,
Proxy Season ,
UK ,
UK Brexit
SEC Proposes Amendments To Update and Simplify Disclosure Requirements: A Closer Look -
On July 13, the Securities Exchange Commission proposed and requested comment regarding rule amendments to update and simplify...more
7/28/2016
/ AIFMD Passport ,
DTCC ,
EU ,
Eurozone ,
GAAP ,
IFRS ,
MiFID II ,
Regulation S-K ,
Regulation S-X ,
TRACE ,
Transparency
SEC/CORPORATE -
SEC Releases Target Dates for Proposed and Final Rulemaking -
The Securities and Exchange Commission recently published its agenda with respect to upcoming rulemaking, including rulemaking...more
5/31/2016
/ Cross-Border Transactions ,
Deposit Accounts ,
EU ,
European Union Delegated Act (EUDA) ,
FDIC ,
Margin Requirements ,
MiFID II ,
Recordkeeping Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
UK
SEC/CORPORATE -
SEC Approves Amendments to Implement Provisions of the JOBS Act and FAST Act -
On May 3, the Securities and Exchange Commission approved amendments to revise certain rules under the Securities...more
SEC/CORPORATE -
SEC Publishes Concept Release Regarding Business and Financial Disclosure -
On April 13, the Securities and Exchange Commission published a concept release, recommended by the SEC’s Division of...more
As discussed in our Corporate & Financial Weekly Digest edition of February 12, 2016, on February 10, the European Commission (the Commission) announced proposals to provide for a one-year extension to the application dates...more
BROKER-DEALER -
FINRA Requests Information Regarding Firm Culture and Values -
The Financial Industry Regulatory Authority is requesting firms to submit information regarding their organizational culture and how...more
2/29/2016
/ Banking Examinations ,
Comptroller ,
Corporate Culture ,
Depository Institutions ,
EU ,
Examination Priorities ,
ISDA ,
MiFID II ,
No-Action Letters ,
Recordkeeping Requirements ,
Security-Based Swaps ,
Stress Tests ,
UK
On February 10, the European Commission (EC) announced its legislative proposal (Proposal) that would provide for a one-year extension to the application of the amended Markets in Financial Instruments Directive and the...more
On November 5, the European Securities and Markets Authority (ESMA) published a consultation paper relating to indirect clearing arrangements (CP). The CP consists of a review of the existing regulatory technical standards...more
BROKER-DEALER -
FINRA Issues Investor Alert Regarding IRS Phone Scam -
The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly...more
11/16/2015
/ CPOs ,
EU ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
Form PQR ,
Internal Investigations ,
Major Swap Participants ,
MiFID II ,
Risk Management ,
Tax Scams ,
UK ,
Volcker Rule
On September 28, the European Securities and Markets Authority (ESMA) published a final report (Report) containing draft regulatory and implementing technical standards (Standards) on the revised EU Markets in Financial...more
Under the original EU Markets in Financial Instruments Directive (MiFID) framework, investment firms must ensure that their personnel have the “skills, knowledge and experience” necessary for their particular functions....more
On February 18, the European Securities and Markets Authority (ESMA) published a new consultation paper (CP) on the implementation of the transparency provisions of the revised EU Market in Financial Instruments Directive...more
In this issue:
- CFTC’s Energy and Environmental Markets Advisory Committee To Hold Meeting
- CFTC Announces Members of Market Risk Advisory Committee
- NFA Notifies SDs and MSPs of Annual Questionnaire...more
2/23/2015
/ CFOs ,
CFTC ,
Derivatives ,
Dodd-Frank ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Statements ,
Foreign Exchanges ,
MiFID II ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Stock Sale Agreements ,
UK ,
Whistleblowers