Matthew White

Matthew White

Baker Donelson

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New Fiduciary Duty Rule: What You Need to Do Now

On April 6, 2016, the U.S. Department of Labor (DOL) released its Final Fiduciary Duty Rule. The effective date for the rule is June 7, 2016, which is 60 days after its Federal Register publish date of April 8. The rule takes...more

4/18/2016 - Best Interest Contract Exemptions DOL Employee Benefits ERISA Fiduciary Duty Investment Adviser IRA Retirement Plan

OCC Issues White Paper on "Responsible Innovation"

On March 31, 2016, the Office of the Comptroller of the Currency (OCC) issued a white paper on the growing intersection between financial services and technology. The OCC stated that "[w]hile banks continue to innovate, rapid...more

4/11/2016 - Banking Sector CFPB Financial Services Industry FinTech Innovation OCC Risk Management White Paper

Common Trends in FINRA and SEC Regulatory Priorities

Each year, both the Financial Industry Regulatory Authority (FINRA) and the United States Securities and Exchange Commission (SEC) issue guidance concerning their regulatory priorities for the coming year. This year, FINRA...more

3/2/2016 - BSA/AML Conflicts of Interest Corporate Counsel Cybersecurity Exchange-Traded Products FINRA Liquidity Policies and Procedures Popular Private Placements SEC SEC Examination Priorities

Increased SEC and FINRA Scrutiny on Confidentiality Provisions

Over the past several months, confidentiality provisions included in settlement agreements, employment or independent contractor contracts, or in other documents, have come under increased scrutiny in the financial industry....more

7/10/2015 - Broker-Dealer Confidentiality Agreements Dodd-Frank DOJ Financial Institutions Financial Markets FINRA Independent Contractors KBR (formerly Kellogg Brown & Root) SEC Settlement Agreements Whistleblowers

SEC Issues Guidance on its 2014 Examination Priorities

Each year, the SEC Office of Compliance Inspections and Examination's National Exam Program (NEP) issues a letter communicating to investors and registrants the areas that the staff perceives to present heightened risks. This...more

2/19/2014 - Compliance Enforcement Actions Fraud NEP SEC

FINRA Issues 2014 Regulatory and Examination Priorities Letter

On January 2, 2014, the Financial Industry Regulatory Authority (FINRA) issued its 2014 Annual Regulatory and Examination Priorities Letter (Priorities Letter). This letter is issued annually to highlight new and existing...more

2/11/2014 - Enforcement Actions FINRA Fraud Investigations

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