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Conyers

Conyers BVI Quarterly Corporate Update – Q1 2023

Conyers on

Welcome to the latest edition of our Quarterly Corporate Update covering recent developments in the British Virgin Islands. The first quarter of 2023 saw a raft of amendments to existing BVI legislation being introduced...more

Tarter Krinsky & Drogin LLP

Has the SEC Made 10b5-1 Trading Plans More Hassle Than They’re Worth?

Executive suites in public companies across America took notice in recent weeks when federal prosecutors filed the first ever case based exclusively on an executive’s sale of company shares pursuant to what is commonly...more

Allen Matkins

Bill Would Require Passively-Managed Funds To Vote Proxies As Instructed By Investors

Allen Matkins on

Last week, U.S Senator Dan Sullivan introduced a bill to require passively managed funds to vote proxies as instructed by their investors.  I have not seen a copy of the bill yet, but according to the Senator's press release,...more

A&O Shearman

UK Conduct Regulator Urges Firms to Return Client Money if Reinvestment in Short Term is Unlikely

A&O Shearman on

The U.K. Financial Conduct Authority has published a Dear CEO letter sent to U.K.-regulated firms providing non-discretionary investment services...more

A&O Shearman

UK Conduct Regulator Concludes No Changes Needed to Banking Senior Managers Regime

A&O Shearman on

The U.K. Financial Conduct Authority has published the findings of its review into the implementation of the Senior Managers and Certification Regime for the banking sector. The SM&CR came into force for banking firms in...more

Allen Matkins

If A Proxy Holder Cannot Vote On Any Matter, Is The Proxy Holder Present?

Allen Matkins on

As mentioned in yesterday's post, Nevada recently enacted a bill making several changes to its corporation and limited-liability company laws. One of these changes was to the quorum requirement for stockholder meetings in NRS...more

A&O Shearman

UK Regulator Sets Out Strategy to Manage Risk of Harm from Wholesale Brokers

A&O Shearman on

The Financial Conduct Authority has published a "Dear CEO" letter addressed to wholesale market broking firms highlighting its view of the key risks of harm that such brokerage firms pose for their clients and markets and the...more

Latham & Watkins LLP

FCA Fires Warning Shot to Brokers in Wholesale Markets

Latham & Watkins LLP on

Latest Dear CEO letter from the regulator includes strong criticism and warns that firms need to improve to meet regulatory expectations. Key Points: ..FCA supervisory work during the next two years will focus on four...more

Thomas Fox - Compliance Evangelist

Using Your Employees to Innovate and Transmit the Message of Compliance

Yesterday I wrote about the use of internal employee crowdsourcing as an innovation tool for a Chief Compliance Officer (CCO) to enhance a best practices compliance program. Multiple readers noted the topic with approval and...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest - Volume X, Issue 24

In This Issue: - SEC Denies Motion to Stay Regulation A+ - SEC Requests Public Comment on ETPs - CFTC Further Extends Valuation Data Reporting Relief for SDs and MSPs - Eleventh Circuit Upholds...more

Broker-Dealer Compliance + Regulation

FINRA Issues its Cybersecurity Report, Providing Tools and Encouragement to Broker-Dealers

FINRA recently issued a Report on Cybersecurity Practices (“Report”), growing out of its targeted examination of firms last year. To issue the Report, FINRA gave careful consideration to the needs of many broker-dealers for...more

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