News & Analysis as of

Investment Funds Broker-Dealer Enforcement

A&O Shearman

Financial Regulatory Developments Focus - October 2018

A&O Shearman on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

WilmerHale

FinCEN Proposes AML Requirements for Registered Investment Advisers

WilmerHale on

The Financial Crimes Enforcement Network (FinCEN) has proposed long-expected regulations that would extend anti-money laundering (AML) requirements to federally registered investment advisers (RIA). The August 25, 2015...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

Four SEC Commissioners addressed the annual SEC Speaks Conference, reviewing recent agency initiatives and tracing potential paths for the future. The SEC also brought another FCPA action, a misappropriation case and an...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - August 9, 2013

In this issue: - Delaware Legislature Adopts Amendments to Delaware General Corporation Law - Amendments to SEC Rules Regarding Broker Dealer Financial Responsibility and Reporting Requirements - FINRA...more

4 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide