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Thomas Fox - Compliance Evangelist

Everything Compliance: Episode 145, 8 Years Later: the Second Trump Administration

Welcome to this Special Edition of Everything Compliance. This podcast came into existence as a way to chronicle what Donald Trump would mean for compliance in his first administration. Our first episode was 8 years ago after...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: November 14, 2024 - The Matt Gaetz as AG Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance brings to you compliance related stories to start your day. Sit back, enjoy a cup of morning coffee and listen in to the Daily Compliance News....more

Manatt, Phelps & Phillips, LLP

Special Client Alert: Election Results and the Future of Fintech, Blockchain and Crypto

Trump’s victory could mean big changes for Fintech and Crypto. With the election of Donald J. Trump as the 47th President of the United States, along with the flip of the Senate to the Republicans and, as of this writing,...more

Stikeman Elliott LLP

CSA Propose Modernization of Investment Fund Continuous Disclosure Regime

Stikeman Elliott LLP on

The Canadian Securities Administrators (“CSA”) have published for comment proposed amendments and changes to modernize the continuous disclosure regime for investment funds (collectively, the “Proposed Amendments”). The...more

A&O Shearman

UK Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2024 published

A&O Shearman on

The Financial Services and Markets Act 2023 (Consequential Amendments) Regulations 2024 have been published, with an accompanying explanatory memorandum. Regulations 3 to 7 make consequential amendments in connection with the...more

A&O Shearman

UK Financial Conduct Authority Consults on Investment Research Payment Optionality for Fund Managers

A&O Shearman on

The Financial Conduct Authority has opened a consultation on extending the new payment optionality for investment research to pooled funds. This proposal will allow asset managers to use the new payment optionality that was...more

A&O Shearman

Navigating the Retail Investment Strategy Directive

A&O Shearman on

The Retail Investment Strategy Directive (“RISD”) aims to enhance investor protection in order to foster retail investors' participation to the financial market and improve overall market efficiency. By ensuring that...more

A&O Shearman

UK Financial Conduct Authority Policy Statement and Discussion Paper for Improving Transparency for Bond and Derivatives markets

A&O Shearman on

Following its consultation earlier this year, the Financial Conduct Authority has published a policy statement setting out its final position on the new U.K. bond and derivative transparency regime. In response to feedback,...more

Skadden, Arps, Slate, Meagher & Flom LLP

The Standard Formula: A Guide to Solvency II – Chapter 14: The SFCR and Other Public Reporting

The SFCR and Other Public Reporting - Introduction - The Solvency II regime, as legislated in the Solvency II Directive and elaborated upon in Chapter XII of the EU Commission Level 2 Delegated Regulation (2015/35), is...more

A&O Shearman

UK Financial Conduct Authority Seeks Views on Use of AI in UK Financial Services

A&O Shearman on

The Financial Conduct Authority has launched a questionnaire on the current and future uses of AI in U.K. financial services and the financial services regulatory framework. The initiative is part of the FCA's AI Input Zone,...more

Clark Hill PLC

Senator Lummis B.I.T.C.O.I.N. Act Receives Fresh Interest in Election’s Wake

Clark Hill PLC on

This year has proven to be a pivotal one for the Bitcoin industry. Out of the gate, the Securities and Exchange Commission took the dramatic step of approving the first spot Bitcoin ETP following a decade of repeated denials....more

Holland & Knight LLP

Agreement Facilitates Investments in Mexico Through the RUPI and Single Window for Investors

Holland & Knight LLP on

The National Development Plan 2019-2024 was designed to promote private investment with a framework of legal certainty and transparency. Through the Decree of July 26, 2023, the Single Window for Investors and the Single...more

Morrison & Foerster LLP

Top 10 International Anti-Corruption Developments for October 2024

Morrison & Foerster LLP on

Designed for busy in-house counsel, compliance professionals, and anti-corruption lawyers, this newsletter summarizes some of the most important international anti-corruption law and enforcement developments from the past...more

Brownstein Hyatt Farber Schreck

Major Changes Ahead at the SEC in the Trump Administration

Under the second Trump administration, the Securities and Exchange Commission (SEC) is likely to see broad changes in regulatory and enforcement initiatives once Chairman Gary Gensler leaves the commission, as is expected....more

Katten Muchin Rosenman LLP

The SEC Adopts Rules Amending the Covered Clearing Agency Standards

The Securities and Exchange Commission (SEC) has recently adopted final rules applicable to SEC-registered Covered Clearing Agencies (CCA), which are intended to help protect investors by enhancing CCAs’ risk management...more

Morgan Lewis

Securities Enforcement Roundup – October 2024

Morgan Lewis on

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from October 2024. In October 2024: As discussed in a recent LawFlash, the US Securities and...more

Blake, Cassels & Graydon LLP

Opérations transfrontalières – Liste de vérification

Notre liste de vérification sur les opérations transfrontalières souligne certaines des particularités, sur le plan commercial et juridique, propres à la réalisation d’opérations transfrontalières au Canada, y compris...more

Hogan Lovells

SEC enforcement targets beneficial ownership reporting violations - SEC Update

Hogan Lovells on

On September 25, the SEC announced that it had initiated and simultaneously settled cease-and-desist proceedings against 23 individuals and companies charged with violations of Exchange Act provisions and SEC rules that...more

Blake, Cassels & Graydon LLP

Cross-Border Checklist - November 2024

Our cross-border checklist highlights some of the distinct business and legal considerations when doing a deal in Canada, including key aspects that may impact Canadian investments and operations. These different facets...more

Cooley LLP

Your Top 10 Decision Points for EDGAR Next

Cooley LLP on

As I recently noted in this blog, there are actions you should be taking now to prepare for the SEC’s new EDGAR Next. One thing you should be doing is becoming educated about what this is all about. Know that there is still a...more

Latham & Watkins LLP

Recent Developments for Directors - November 2024

Latham & Watkins LLP on

SEC Penalizes Director for Misleading D&O Questionnaire Response - The SEC recently brought an enforcement action against a director for causing violations of the proxy rules by failing to disclose a close personal...more

K&L Gates LLP

The Italian Law Implementing the EU MiCar Regulation: A "MiFIDisation" of Crypto-Assets?

K&L Gates LLP on

On 13 September 2024 Legislative Decree no. 129/2024 (Decree no. 129), implementing the MiCAR Regulation (Regulation (EU) 2023/1114 of the European Parliament and of the Council of 31 May 2023 on markets in crypto-assets –...more

Blake, Cassels & Graydon LLP

A Canadian Securities Law Primer on the Filing of Material Contracts

While the topic of material contract filing was covered comprehensively in a previous Blakes bulletin originally published in 2008, an updated guide on this topic is long overdue. Given the commentary regarding deficiencies...more

Davis Wright Tremaine LLP

A New Prologue for Crypto – A Practical Analysis and Proposal in the Name of Efficiency and Sound Regulatory Policy

"The United States, with its history of welcoming innovators, has a large reserve of good will. In a country that ever aspires to improve with time, people are hopeful that bad policy approaches can change. This hope is not...more

Dechert LLP

Global Private Equity Outlook

Dechert LLP on

Following a significant increase in transactions during Q3 2024, optimism is growing for an even stronger year ahead. Our co-published annual report explores growth opportunities and emerging trends that are essential to...more

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