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Business Conduct Standards

Stikeman Elliott LLP

Setting the Stage: CSA Prepare for Canada’s Business Conduct Regime for OTC Derivatives Dealers and Advisers

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The Canadian Securities Administrators (“CSA”) have released a few updates this summer regarding National Instrument 93-101 Derivatives: Business Conduct and its companion policy (collectively, the “Business Conduct Rule”)....more

Stikeman Elliott LLP

Coming in 2024: Canadian Business Conduct Regime for OTC Derivatives Dealers and Advisers

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The securities regulatory authorities in all Canadian jurisdictions other than British Columbia recently published in final form Multilateral Instrument 93-101 Derivatives: Business Conduct (“MI 93-101”) and its companion...more

Bennett Jones LLP

Canadian Securities Administrators Adopt Multilateral Instrument 93-101: Derivatives—Business Conduct

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The Canadian Securities Administrators (CSA) announced that the regulatory authorities of each jurisdiction in Canada, except for British Columbia, have adopted Multilateral Instrument 93-101, entitled Derivatives—Business...more

Wiley Rein LLP

Federal Communications Commission Seeks to Revive Net Neutrality Rules

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On Thursday, September 28, 2023, the Federal Communications Commission (FCC or Commission) released a draft Notice of Proposed Rulemaking (NPRM) that, if adopted, would comprehensively regulate broadband in the United States....more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for January 2023

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more

J.S. Held

Crosscurrents: Corporate Sustainability Reporting Directive (CSRD) & ESG Reporting in Europe

J.S. Held on

In mid-November 2022, the European Parliament adopted the Corporate Sustainability Reporting Directive (CSRD), a major expansion of the 2014 Non-Financial Reporting Directive (NFRD). The new rules will quadruple the number of...more

Walkers

SEAR and the Individual Accountability Landscape: The Central Bank (Individual Accountability Framework) Bill 2022

Walkers on

The Central Bank (Individual Accountability Framework) Bill 2022 (the “IAF Bill“) was published on 28 July 2022 by the Department of Finance, following the publication of the General Scheme of the IAF Bill (“General Scheme”)...more

Bennett Jones LLP

Securities Administrators Invite Public Comment on Proposed Business Conduct Rules for Derivatives Dealers

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The Canadian Securities Administrators (the CSA) have invited public comment on Proposed National Instrument 93-101 Derivatives: Business Conduct Rules (the Proposed Business Conduct Rules) which would apply to dealers in...more

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #61: Interim Compliance with PTE 2020-02: The Impartial Conduct Standards

The DOL “Fiduciary Rule,” FAQ 11: The Impartial Conduct Standards - This series focuses on the DOL’s new fiduciary “rule”, which was effective on February 16. This, and the next several, articles look at the Frequently...more

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #45

On February 16, 2021, the DOL’s prohibited transaction exemption (PTE) 2020-02 became effective. The PTE is titled “Improving Investment Advice for Workers & Retirees.” It allows investment advisers, broker-dealers, banks,...more

Lowenstein Sandler LLP

U.S. Department Of Labor Proposes New (Simpler) Fiduciary Rule Exemption

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On June 29, the U.S. Department of Labor (DOL) again waded into the financial services standard of care waters, only this time, it is staying in the shallow end. The DOL’s proposed prohibited transaction exemption (Proposed...more

Faegre Drinker Biddle & Reath LLP

Federal Antitrust Authorities Offer Guidance to Businesses Eager to Assist With Coronavirus Pandemic

The Department of Justice (DOJ) and the Federal Trade Commission (FTC) (and collectively, the agencies) issued on March 24, 2020 their Joint Antitrust Statement Regarding COVID-19 (Joint Statement) regarding their respective...more

Faegre Drinker Biddle & Reath LLP

Delaware Supreme Court Upholds Federal Forum Selection Provisions Requiring Securities Claims Be Brought in Federal Court

In its highly anticipated decision in Salzberg v. Sciabacucchi, No. 346, 2019 (Del. Mar. 18, 2020), the Delaware Supreme Court confirmed the facial validity of a provision contained in certificates of incorporation of many...more

Ballard Spahr LLP

CFPB announces advisory opinion program, updates responsible business conduct bulletin, proposes whistleblower legislation

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At the end of last week, the CFPB announced that it was taking three steps consisting of implementing an advisory opinion program, updating its responsible business conduct bulletin, and proposing an award program for...more

A&O Shearman

UK Conduct Regulator Announces 2020 Mini-Bond Product Intervention Measures

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The U.K. Financial Conduct Authority has announced that it will introduce temporary product intervention measures for 12 months from January 1, 2020 to December 31, 2020 to combat risks to consumers of the promotion of...more

Proskauer - Labor Relations Update

NLRB: Employer’s Reasons For Policy Changes Kept Union’s Information Request Alive Even After Proposals Withdrawn

Information requests in the realm of labor relations are simple in theory but can be complicated in practice. We have seen how the topics of information sought by a union can cause skirmishes, sometimes deliberately so. We...more

Hogan Lovells

BHR News Flash: Swiss proposal to impose human rights due diligence requirements reaches the next stage of the legislative process

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In December 2017, our blog post discussed how a coalition of Swiss civil society organisations launched the Responsible Business Initiative (“RBI”), i.e. a proposal to amend the Swiss constitution to require mandatory human...more

Foley Hoag LLP - Global Business and Human...

Five on Friday – Five Recent Developments that We’ve Been Watching Closely - July 2017

It’s Friday and time for another overview of developments in the field of business and human rights that we’ve been monitoring. This week’s post includes: the U.S. Government’s amicus brief in Jesner v. Arab Bank; a...more

Morrison & Foerster LLP

The SEC’s Long-Awaited Security-Based Swaps Rules May Be Approaching

The SEC has proposed all of its major Title VII rules regulating the security-based swaps market. The authors discuss the current status of this and related rulemakings, the relief the SEC has granted, and the provisions of...more

Katten Muchin Rosenman LLP

Bridging the Week - April 2017 #2

SEC Chairman Nominee Advances: Jay Clayton took another step to becoming chairman of the Securities and Exchange Commission when the US Senate Committee on Banking, Housing and Urban Affairs approved his nomination for the...more

Morgan Lewis

Japan Releases Draft ‘Principles for Customer-Oriented Business Conduct’

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LawFlash February 17, 2017 Financial Services Agency of Japan proposes seven principles aimed at creating a customer-oriented financial services culture. On January 19, the Financial Services Agency of Japan (JFSA) released a...more

Littler

The U.S. Issues a National Action Plan on Responsible Business Conduct

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On December 16, 2016, the United States launched a National Action Plan (the “U.S. NAP”) on Responsible Business Conduct. The U.S. NAP seeks to operationalize the government’s role in encouraging responsible business conduct...more

Foley Hoag LLP - Global Business and Human...

U.S. Government to Release Its National Action Plan on Responsible Business Conduct

On Friday, December 16, the Government of the United States will release its long-awaited National Action Plan on Responsible Business Conduct. ...more

Morrison & Foerster LLP

CFTC Issues Cross-Border Proposal

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On October 11, 2016, the U.S. Commodity Futures Trading Commission (“CFTC”) issued proposed rules to address certain issues related to the cross-border application of Title VII of the Dodd-Frank Wall Street Reform and...more

WilmerHale

Key Differences Between CFTC and SEC Final Business Conduct Standards and Related Cross-Border Requirements

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The Securities and Exchange Commission (SEC) recently adopted final business conduct rules for security-based swap dealers (SBSDs) and major security-based swap participants (MSBSPs) under Section 15F(h) of the Securities...more

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