SEC/CORPORATE -
SEC Division of Corporation Finance Issues C&DIs on Omission of Third Year From MD&A -
As previously discussed in the April 12, 2019 edition of Corporate & Financial Weekly Digest, the Securities and...more
2/3/2020
/ Anti-Money Laundering ,
Bank Holding Company Act ,
C&DIs ,
CFTC ,
Final Rules ,
Financial Statements ,
Incorporation by Reference ,
MD&A Statements ,
NIST ,
OCIE ,
Registration Statement ,
Securities and Exchange Commission (SEC) ,
Transitional Arrangements ,
UK Brexit
SEC/CORPORATE -
NYSE Withdraws Proposed Rule to Allow Listing Without an IPO -
On June 19, the New York Stock Exchange (NYSE) filed a notice withdrawing its proposed rule that would have allowed companies to list on the...more
7/3/2017
/ Anti-Money Laundering ,
Anti-Terrorism Financing ,
Asset Management ,
Dubai ,
Financial Conduct Authority (FCA) ,
Initial Public Offering (IPO) ,
Listing Rules ,
New Regulations ,
NYSE ,
UK ,
UK Competition and Markets Authority (CMA)
SEC/CORPORATE SEC Commissioner Piwowar Speaks at Current Financial Reporting Issues Conference -
On November 16, Securities and Exchange Commissioner Michael Piwowar addressed the 34th Annual Current Financial Reporting...more
In this issue:
- SEC Division of Corporation Finance Issues New C&DI Related to Resales Under Regulation S
- SEC Announces Proxy Voting Roundtable
- CFTC Staff Issues No-Action Relief From Certain...more
2/2/2015
/ AIFM ,
Anti-Money Laundering ,
Brokers ,
C&DIs ,
CFTC ,
Clawbacks ,
CME NYMEX ,
EU Directive ,
Forex ,
Insider Trading ,
Major Swap Participants ,
Netherlands ,
No-Action Relief ,
Proxy Voting Guidelines ,
Regulation S ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
UK