Payment for Order Flow (PFOF) and Gamification: Your Questions Answered
Summer Enforcement Action Review; Raising Money in a Pandemic - Investment Management Roundtable Discussion
Investment Management and Private Funds Roundtable – June 2020
Videocast: Asset management regulation in 2020 videocast series – FinTech initiatives
Videocast: Asset management regulation in 2020 videocast series – Fiduciary investment advice: The patchwork emerges
Videocast: Asset management regulation in 2020 videocast series – SEC enforcement
Videocast: Asset management regulation in 2020 videocast series – Complying with new SEC rules for broker-dealers
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
Regulation Best Interest Videocast Series: Establishing An Investment Platform Post-Regulation BI
Investment Management Update - Focus on Data Privacy and Cybersecurity
In a new decision, the U.S. Court of Appeals for the Ninth Circuit announced a standard for when an employee has waived her rights to judicial remedies—and sent the plaintiff’s employment dispute to arbitration....more
The Financial Industry Regulatory Authority, Inc. (FINRA) is an independent regulatory body, overseeing securities firms and their brokers and other registered personnel. Arbitration of employment disputes in the arbitration...more
In the securities industry, the majority of all employment disputes are resolved through binding arbitration. This mandatory arbitration system is managed through a unique industry forum under the self-regulatory entity...more
Earlier this year, the New York City Council passed two laws which place limitations on an employer’s ability to use background checks including credit checks (otherwise known as consumer reports) in employment decisions: the...more
As previously reported, on May 6, 2015, New York City Mayor Bill de Blasio signed the "Stop Credit Discrimination in Employment Act" (Act), which makes it unlawful for most employers to use an applicant's or employee's credit...more
As we blogged about previously, Mayor Bill De Blasio signed into law the Stop Credit Discrimination in Employment Act (“SCDEA”) in May. The SCDEA went into effect on September 3, 2015 and it prohibits employers from using an...more
On Oct. 27, 2015, the new NYC Fair Chance Act ( “FCA”), recently signed into law by Mayor Bill de Blasio, takes effect. The FCA prohibits most New York City employers from making inquiries into an applicant’s criminal...more