News & Analysis as of September 19, 2024

European Union › Dodd-Frank Wall Street Reform and Consumer Protection Act › Compliance

+ Follow

The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of... more +

The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

In Practice: Conflicting signals? Potential impacts of the SEC’s proposed conflicts of interest rule on UK and EU CLO managers

Latham & Watkins LLP on 6/26/2023

On 25 January 2023, the US Securities and Exchange Commission (SEC) proposed a far-reaching rule (Rule 192) to prohibit securitisation transactions involving or resulting in a material conflict of interest between certain...more

Securities Snapshot: 1st Quarter 2023 - 2022 Final Rules Now in Effect: What You Need to Know

Keating Muething & Klekamp PLL on 3/29/2023

Securities and Exchange Commission rulemaking continued at a brisk pace in the first quarter of 2023 as the Commission implemented several significant reporting and compliance regulations adopted in 2022. Final rules and...more

Cross-Border Investigations Update - September 2019

Skadden, Arps, Slate, Meagher & Flom LLP on 10/3/2019

This issue of Skadden’s semiannual Cross-Border Investigations Update takes a close look at recent cases, regulatory activity and other key developments, including a review of the first year of GDPR enforcement, analysis of...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 8/31/2015

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

Dodd-Frank at 4: Where do we go from here?

Morrison & Foerster LLP on 8/6/2015

Where do we go from here? As we mark another milestone in regulatory reform with the fourth anniversary of the enactment of the Dodd-Frank Act, it strikes us that although most studies required to be undertaken by the Act...more

FCPA Compliance and Ethics Report-Episode 174-Matt Kelly on Dodd-Frank, Uber and Upcoming Compliance Week events

Thomas Fox - Compliance Evangelist on 7/2/2015

In this episode I visit with Compliance Week Editor Matt Kelly on how Dodd-Frank is working and affecting financial services, Uber and the recent ruling from the California Labor Board finding one Uber driver an employee and...more

International News: Focus on Compliance

McDermott Will & Emery on 12/3/2014

In This Issue - Welcome to the final issue of International News for 2014. As regulatory oversight of companies—from Sarbanes Oxley and the Dodd-Frank Act to the Foreign Corrupt Practices Act and the UK Bribery...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 5/12/2014

Council of the EU Adopts Bank Recovery and Resolution Directive - On May 6, the Council of the EU adopted at first reading the text of the Bank Recovery and Resolution Directive (BRRD). The BRRD seeks to harmonize...more

"EU Derivatives Trade Reporting Obligations to Begin on February 12, 2014"

Skadden, Arps, Slate, Meagher & Flom LLP on 11/15/2013

Starting February 12, 2014, the European Market Infrastructure Regulation (EMIR) will require EU-counterparties to all derivative contracts, whether traded on or off exchange, to report certain trade information and details...more

Obligations Under European Market Infrastructure Regulation Imminent

Morgan Lewis on 9/6/2013

With certain EMIR provisions set to go live in September, both EU counterparties and many non-EU counterparties must take action to comply with risk management requirements, which involve some overlap with Dodd-Frank....more

Orrick's Financial Industry Week in Review - July 22, 2013

Orrick, Herrington & Sutcliffe LLP on 7/23/2013

SEC and EU Supervisory Cooperation for Asset Management Industry - On July 19, the SEC announced that it signed various memoranda of understanding with the financial regulators of 25 member states of the EU and 3...more

The Transparency Wars: Coming to a Galaxy Near You?

Foley Hoag LLP - Global Business and Human... on 7/12/2013

Everyone is in favor of transparency and anti-corruption – at least, everyone except the occasional despot or dictator. Yet substantial controversy now swirls around the disclosure of the vast sums that governments receive...more

Financial Services Bulletin: Action At The FRB

Perkins Coie on 7/9/2013

The FRB Issues Final Basel III Capital Reform Rule - On Tuesday, July 2, 2013, the Federal Reserve Board (the “FRB”), in coordination with the Federal Deposit Insurance Corporation (the “FDIC”) and the Office of the...more

European Union Pending Legislation Requiring Additional Transparency from Extractive Industries

Cadwalader, Wickersham & Taft LLP on 5/20/2013

On April 9, 2013, the European Union agreed to a preliminary deal requiring oil, gas, mining and forestry companies to report in greater detail any payments at or above €100,000 (approximately $130,000) they make to foreign...more

Verbatim: Global Compliance - Quarterly Newsletter: Spring 2013

Orrick, Herrington & Sutcliffe LLP on 5/10/2013

We've highlighted a few notable developments in corporate governance law taking place this spring that may be of interest to you. For more information on any of the topics listed below, please contact us at...more

15 Results

/

View per page

Page: of 1