News & Analysis as of

Burden of Proof Financial Institutions

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #45

On February 16, 2021, the DOL’s prohibited transaction exemption (PTE) 2020-02 became effective. The PTE is titled “Improving Investment Advice for Workers & Retirees.” It allows investment advisers, broker-dealers, banks,...more

King & Spalding

Quantum Quarterly – Issue 12 – 4 Quarter 2020

King & Spalding on

Claimant is an Australian joint venture between Chile’s Antofagasta plc and Canada’s Barrick Gold Corporation. In 2006, Claimant became a party to a joint venture agreement between it and the Government of Balochistan with...more

ArentFox Schiff

Third Circuit Holds that False Claims Act First-to-File Bar is Not Jurisdictional

ArentFox Schiff on

Third Circuit Holds that False Claims Act First-to-File Bar is Not Jurisdictional - On September 1, 2020, the US Court of Appeals for the Third Circuit held that the False Claims Act (FCA) first-to-file bar, 31 U.S.C. §...more

Hogan Lovells

New EU Whistleblowing Directive – what UK financial services firms need to know

Hogan Lovells on

On 7 October 2019, the Council of the European Union formally adopted a new Directive on the protection of persons who report breaches of Union law. The Directive was published in the Official Journal of the European Union on...more

Skadden, Arps, Slate, Meagher & Flom LLP

"The UK Softens Its Approach to Senior Banker Regulatory Liability"

The aftermath of the financial crisis saw regulators worldwide tighten rules and launch large-scale enforcement investigations, particularly directed at the banking sector. The U.K., notwithstanding the importance to it of...more

5 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide