In this issue:
- Meeting of the SEC Advisory Committee on Small and Emerging Companies
- Financial Action Task Force Publishes Updated List of Deficient Jurisdictions
- CFTC to Host Roundtable on...more
3/9/2015
/ CFTC ,
Cybersecurity ,
Destruction of Evidence ,
EU ,
FATF ,
Foreign Banks ,
Jurisdiction ,
Risk Alert ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Volcker Rule
Deputy Treasury Secretary Sarah Raskin, who recently spoke at the Texas Bankers’ Association Executive Leadership Cybersecurity Conference, provided bank executives and boards some guidance on preventing, preparing for and...more
In this issue:
- Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements
- SEC Approves MSRB Best Execution Rule
- SEC Sanctions Operator of Unregistered Virtual...more
12/15/2014
/ Banks ,
Basel Committee on Banking Supervision (BCBS) ,
Bitcoin ,
Currency Exchange ,
Cybersecurity ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Insider Trading ,
Investors ,
MiFID ,
MSRB ,
Proxy Season ,
Proxy Statements ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Shareholders ,
Virtual Currency
In this issue:
- FINRA Proposes to Amend Rule 11892
- SEC Approves FINRA Rule Change to Limit Self-Trading
- FATCA Transitional Relief and Extension of Time for the Implementation of New Account...more
5/12/2014
/ Bitcoin ,
Conspiracies ,
Cybersecurity ,
Disclosure Requirements ,
FATCA ,
FDIC ,
Federal Election Commission (FEC) ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
International Tax Issues ,
Investors ,
Privacy Laws ,
Reverse Mergers ,
Securities and Exchange Commission (SEC) ,
Self-Dealing