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Allen Matkins

Mum's The Word At California's Civil Rights Department Regarding Fair Investment Practices By Investment Advisers Law (AKA SB 54)

Allen Matkins on

I wrote about a bill, SB 54, that would have required institutional investors, securities and real estate brokers, and others to report on the diversity status of "founding teams".  At the time, I criticized the bill as being...more

Moore & Van Allen PLLC

CFTC's first release in SOFR First Transition Initiative series on LIBOR and SOFR swaps

Moore & Van Allen PLLC on

In a press release on June 8th, the Commodity Futures Trading Commission (the “CFTC”) published its first release in a series called the “SOFR First Transition Initiative” as a best practice. One goal for this sort of “best...more

Dickinson Wright

Dealing with Your Obligations to Clients During the COVID-19 Pandemic

Dickinson Wright on

While securities regulators on both sides of the border have provided some relief to dealers and advisors, the Canadian Securities Administrators (“CSA”) and the Securities and Exchange Commission (“SEC”) have not extended...more

Manatt, Phelps & Phillips, LLP

FinCEN Hits Repeat Offender with $20M Penalty

Manatt, Phelps & Phillips, LLP on

Why it matters - The $20 million civil money penalty assessed by the Financial Crimes Enforcement Network (FinCEN) against Oppenheimer & Co. is intended to send several strong messages to all types of financial services...more

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