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IOSCO Securities and Exchange Commission (SEC) Consumer Financial Protection Bureau (CFPB)

K&L Gates LLP

Dodd-Frank Turns Five, What Comes Next?

K&L Gates LLP on

The 2008 credit crisis was the beginning of an era of unprecedented government management of the capital markets. July 21, 2015 marked the fifth anniversary of the hallmark congressional response, the Dodd-Frank Wall Street...more

Goodwin

Financial Services Weekly News Roundup - March 2015 #2

Goodwin on

SEC Spotlight on Broker-Dealer Supervision of Outside Business Activities of Registered Representatives. In this issue we report on the SEC’s settled administrative proceedings against H.D. Vest Investment Securities,...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

ESMA Publishes Guidelines on the EU Implementation of CPSS-IOSCO Principles - On September 4, ESMA published the translation of guidelines and recommendations on implementing the principles for financial market...more

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