As every investment adviser, broker-dealer, and fund (and their lawyer) knows, noncompliance with Regulation S-P, the SEC’s primary rule on privacy notices and safeguard policies, can land a registrant in hot and expensive...more
4/22/2019
/ Broker-Dealer ,
Cybersecurity ,
Data Protection ,
Enforcement Actions ,
Investment Adviser ,
Investment Companies ,
Investment Firms ,
OCIE ,
Personally Identifiable Information ,
Popular ,
Regulation S-P ,
Risk Alert ,
Safeguards Rule ,
Securities and Exchange Commission (SEC)
In connection with the US Securities and Exchange Commission’s (SEC) proposed Regulation Best Interest, the Financial Industry Regulatory Authority (FINRA) has asserted (with some case law support from the SEC) that its...more
In his first Supreme Court opinion, Justice Kavanaugh, writing for a unanimous court, held that when a contract delegates to arbitrators gateway questions regarding arbitrability of disputes, courts may not override that...more
1/14/2019
/ Appeals ,
Arbitration ,
Arbitration Agreements ,
Arbitrators ,
Contract Terms ,
Corporate Counsel ,
Epic Systems Corp v Lewis ,
Exceptions ,
Federal Arbitration Act ,
Henry Schein Inc v Archer and White Sales Inc ,
Judicial Review ,
Kindred Nursing Centers v Clark ,
Lamps Plus Inc v Varela ,
Motion to Compel ,
Question of Arbitrability ,
Remand ,
SCOTUS ,
Vacated ,
Wholly Groundless Doctrine
The Senate’s recent confirmation of Justice Neil Gorsuch, President Donald Trump’s pick to fill the United States Supreme Court vacancy, could impact the deference courts currently afford to administrative agencies in the...more