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Finance & Banking Securities

Read Finance & Banking Law updates, alerts, news, and legal analysis from leading lawyers and law firms:

What Lies Ahead? Q1 2018 Investment Management Regulatory Updates and Reminders

by Dorsey & Whitney LLP on

As we start the New Year, we would like to remind our clients of certain regulatory developments and upcoming deadlines for Q1 2018. New Form ADV - The new Form ADV takes a deeper dive by requiring additional...more

Chair Clayton’s Remarks at Northwestern Securities Regulation Institute

In his remarks on January 22, 2018, in addition to addressing initial coin offerings and blockchain related matters, Chair Clayton discussed the Securities and Exchange Commission’s remaining Dodd-Frank Act rulemaking...more

Chairman Clayton Asks Lawyers to Knock it Off with the Unregistered Coin Offerings

In his recent remarks at the Securities Regulation Institute, SEC Chairman Jay Clayton had some stern words for market professionals, especially lawyers, involved in initial coin offerings (ICOs). He expressed concern that...more

European Securities and Markets Authority Has Concerns on Fees Charged by Credit Rating Agencies and Trade Repositories

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published a Thematic Report, following its supervisory review of the current fee structures in the credit rating and trade repository industries. The CRA Regulation requires...more

Potential SEC Shutdown: Frequently Asked Questions About the Impact on Capital Markets Transactions and Public Companies

by King & Spalding on

19 Law Firm Consensus Report as of 10:00 am EST, Monday, January 22, 2018 - On Friday, January 19, 2018, the Securities and Exchange Commission (SEC) announced that “should there be a federal government shutdown after...more

SEC Chair Clayton Warns Lawyers on Initial Coin Offerings

SEC Chair Clayton delivered the following remarks at a conference of securities professionals: “My first message is simple and a bit stern. Market professionals, especially gatekeepers, need to act responsibly and hold...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Daniel Loeb and his Third Point fund is pushing Nestle—despite its recent sale of its US confectionary business to Italy’s Ferrero for $2.8 billion last week—to make further changes, including dropping its stake in cosmetics...more

Bridging the Week - January 2018 #3

SEC Not Feeling Groovy About Cryptocurrencies – Tells Registered Investment Funds: Slow Down, You Move Too Fast: The Securities and Exchange Commission’s Division of Investment Management issued a letter to two industry...more

9 Risk Factors To Consider When Making Digital Currency Investment Decisions

by Sherman & Howard L.L.C. on

January 22, 2018 – Although 2017 was a banner year for cryptocurrencies, with numerous digital tokens yielding blockbuster returns, institutional and individual investors alike should exercise caution when investing in...more

SEC, USAO Charge Six With Misappropriating PCAOB Data

by Dorsey & Whitney LLP on

The SEC and the U.S. Attorney’s Office for the Southern District of New York took the unusual step of charging six accounts from KPMG and/or the PCAOB with misappropriating and using confidential information from the Public...more

Corporate News – January 2018

by Hogan Lovells on

A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law....more

To be safe, read those trust statements

by Ary Rosenbaum on

In light of some troubling news that a third party administrator (TPA) was shut down by the Federal Bureau of Investigation (FBI) for possible theft of plan assets, there is one pro-active step you should take as a plan...more

Day 23 of 31 Days to a More Effective Compliance Program-Updates and Feedback

by Thomas Fox on

One of the critical elements found in the Evaluation of Corporate Compliance Programs (Evaluation) is the need to use the information you obtain, whether through risk assessment, root cause analysis, investigation, hotline...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker-Dealer, Derivatives, CFTC and UK/Brexit/EU Developments

BROKER-DEALER - FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule On January 8, the Financial Industry Regulatory Authority (FINRA) requested comment on proposed...more

EU Trading Venues and CCPs Exempted from the Open Access Requirements for Exchange-Traded Derivatives

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published a list of trading venues exempt from the open access requirements of the Markets in Financial Instruments Regulation under transitional arrangements for...more

Investment Services Regulatory Update - January 2018

by Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - Division of Investment Management Staff Issues Liquidity Risk Management Program FAQs - On January 10, 2018, the staff of the SEC’s...more

SEC and CFTC Enforcement Directors Issue Joint Statement Regarding Virtual Currency Enforcement Actions

by Goodwin on

On January 19, 2018, SEC Co-Enforcement Directors Stephanie Avakian and Steven Peikin and CFTC Enforcement Director James McDonald issued the following joint statement regarding virtual currency enforcement actions...more

Potential SEC Shutdown: Frequently Asked Questions About the Impact on Capital Markets Transactions and Public Companies

The U.S. federal government shutdown that began Saturday has the potential to affect capital markets and public companies in far-reaching ways. While the Securities and Exchange Commission currently plans to operate fully...more

Potential SEC Shutdown Impact on Capital Markets Transactions and Public Companies - Frequently Asked Questions

by Morrison & Foerster LLP on

On Friday, January 19, 2018, the Securities and Exchange Commission (“SEC”) announced that “should there be a federal government shutdown after January 19, the SEC will remain open for a limited number of days, fully staffed...more

Massachusetts Securities Division Files First Complaint Related to Initial Coin Offering

On January 17, 2018, the Massachusetts Securities Division Enforcement Section filed a complaint against the company Caviar and its founder Kirill Bensonoff for violations of the Massachusetts Uniform Securities Act in...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

A look at Amazon’s newest concept—Amazon Go—a convenience store that opens in Seattle today complete with “shelves of food” found at other stores (including Whole Foods) but with nary a cashier in sight....more

OFAC Issues Statement On Venezuelan Digital Currency

by Goodwin on

On Friday, the Office of Foreign Assets Control (OFAC) issued FAQ 551 stating that U.S. persons who deal in the prospective Venezuelan digital currency (the “Petro”) may be exposed to U.S. sanctions risk under Executive Order...more

SEC and CFTC Issue Joint Statement on Virtual Currency Enforcement Actions

by Ballard Spahr LLP on

The following joint statement was issued this last week from the Enforcement Directors of the Securities Exchange Commission and Commodity Futures Trading Commission...more

FCPA Compliance Report-Episode 367, Jim Shields on using comedy for compliance training

by Thomas Fox on

Today I visit with James Shields, the Creative Director for Twist and Shout Communications, a UK company which creates training video using comedy as the touchstone. You can check out a selection of the company’s offerings on...more

The Directors of SEC and CFTC Enforcement Warn Would-be Virtual Currency Market Fraudsters

by Dorsey & Whitney LLP on

The Enforcement Directors of the SEC and CFTC took the unusual step of issuing a joint statement regarding virtual currency enforcement actions at the close of last week. SEC Enforcement Co-Directors Stephanie Avakian and...more

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