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DLA Piper

SEC Approves PCAOB Rule Amendment That Expands Individual Auditor Enforcement Liability

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The Securities and Exchange Commission (SEC) approved a proposed amendment to Public Company Accounting Oversight Board (PCAOB) Rule 3502. The amended rule expands enforcement liability for associated persons who...more

Goodwin

ESMA Cloud Outsourcing Guidelines – Practical Points for Cloud Service Providers and Regulated Entities

Goodwin on

The European Securities and Markets Authority (“ESMA”) Final Report Guidelines on outsourcing to cloud service providers (“the Guidelines”) came into force on 31 July 2021 and apply to all cloud outsourcing arrangements...more

Dechert LLP

Investment Funds Update: Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

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BaFin Restricts CFD Trading to Retail Clients - BaFin issued a General Administrative Act pursuant to section 4b of the German Securities Trading Act (Wertpapierhandelsgesetz – WpHG) on 8 May 2017. The General...more

Dechert LLP

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

Dechert LLP on

Audit Regulators in Australia and in Luxembourg Enter Into Cooperative Agreement - The Australian Securities and Investments Commission and Luxembourg’s Commission de Surveillance du Secteur Financier (“CSSF”) have...more

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