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Asset Management › Rulemaking Process

Eversheds Sutherland (US) LLP

Videocast: Asset management regulation in 2020 videocast series – The annuity regulatory landscape

Eversheds Sutherland (US) LLP on

In this Bottom Line videocast, Dodie Kent and Clifford Kirsch discuss: The continued emergence of registered index linked annuity products. The NAIC’s amended Suitability Rule. The SEC’s variable product summary prospectus...more

Eversheds Sutherland (US) LLP

Videocast: Asset management regulation in 2020 videocast series – Investment company developments

Eversheds Sutherland (US) LLP on

In 2020, investment companies should be prepared for important compliance deadlines and likely US Securities and Exchange Commission (SEC) rulemakings. In this Bottom Line videocast, Cynthia Beyea and Ronald Coenen Jr....more

Cadwalader, Wickersham & Taft LLP

2020 Update to the UK Stewardship Code

Cadwalader, Wickersham & Taft LLP on

In March 2019, we reported that the UK’s Financial Reporting Council (“FRC”) was consulting on proposed changes to the UK’s Stewardship Code (the “Stewardship Code”). Those consultations have led to an updated 2020 edition of...more

Broker-Dealer Compliance + Regulation

SEC Chair’s Agenda Provides Glimpse of New Rules to Come

Broker-Dealer Compliance + Regulation on

The SEC offered a peek into what new rule proposals we can expect in the coming months. The sneak preview includes some eye openers, like proposed rules to require funds to adopt liquidity management programs and...more

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