SEC Issues New C&DI Relating to Submission of Annual Reports to SEC -
On November 2, the Division of Corporation Finance (Division) of the Securities and Exchange Commission issued a new Compliance and Disclosure...more
11/14/2016
/ C&DIs ,
Canada ,
Chief Compliance Officers ,
Corporate Governance ,
EU ,
Forex ,
MiFID II ,
MiFIR ,
Passporting ,
Pay-for-Performance ,
Proxy Season ,
UK ,
UK Brexit
SEC/CORPORATE -
SEC Approves PCAOB Rules Requiring Disclosure of Audit Participants -
On May 9, the Securities and Exchange Commission adopted the proposed new rules and related amendments to auditing standards...more
SEC/CORPORATE -
Proxy Advisory Firms Release Policy Updates for 2016 -
Institutional Shareholder Services (ISS) and Glass Lewis, two leading proxy advisory firms, recently published their 2016 proxy voting...more
12/7/2015
/ Banking Sector ,
Broker-Dealer ,
CFTC ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
MiFID II ,
OCC ,
Overboarding ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Waiting Periods
SEC/CORPORATE -
SEC Proposes Amendments to Rules 147 and 504 -
On October 30, the Securities and Exchange Commission proposed amendments to modernize: (1) Rule 147, promulgated under the Securities Act of 1933...more