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Business Continuity Plans Financial Markets

Hutchison PLLC

Top Employment Law Considerations for Startups, with Ashley K Pittman

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At Hutchison PLLC, we specialize in working with startups, so we completely understand that when you’re trying to build a business from nothing, legal isn’t always your top priority. You need to quickly figure out product...more

Ward and Smith, P.A.

Talking Shop: State of the Construction Industry

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Recently, Hank Harris, Ward and Smith Business Consulting Director of Consulting, delivered his take on the factors currently shaping the construction industry and what he anticipates the future will bring. Harris spent...more

Robins Kaplan LLP

Financial Daily Dose 9.21.2020 | Top Story: White House Signs Off on Deal for Oracle & Walmart to Take Stake in TikTok

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The White House has given its crucial imprimatur to a deal for Oracle (and Walmart) to take a stake in Chinese video app TikTok, “an agreement that will delay the U.S. government’s threat to block the popular app in the...more

Hogan Lovells

ESMA releases public statement on COVID-19 – Impact on financial market participants

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On 11 March 2020 ESMA has issued a public statement in relation to the impact of COVID-19 outbreak on financial markets in the European Union. As a result, issuers will have to take action in order to cope with the current...more

Morgan Lewis

CFTC No-Action Relief for Registrant and Market Participant COVID-19 Response

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Many Commodity Futures Trading Commission registrants and other market participants are responding to the coronavirus (COVID-19) pandemic by implementing business continuity plans that move personnel from their “normal...more

Hogan Lovells

Coronavirus and cracks in your armor: Recognizing impending financial stressors spawned by a health pandemic

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One by one, at devastating speed, communities across the globe are facing the effects of Covid-19. With more than 115,000 reported cases to date, we are no longer awaiting a new reality; we have met it head on....more

Robins Kaplan LLP

Financial Daily Dose 3.13.2020 | Top Story: COVID-19 Fears Push Wall Street to Worst Losses Since Black Monday

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It’s been a week or so, and we’re running out of ways to say that this is bad. But it certainly is. Your bear market stats for the day: the biggest daily drop by percentage for both the S&P 500 and the Dow Jones Industrial...more

White & Case LLP

Operational resilience, third party risk management and impact tolerance in the time of Coronavirus

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On 5 December 2019 the Bank of England (Bank), UK Prudential Regulation Authority (PRA) and UK Financial Conduct Authority (FCA) published coordinated consultation papers and policy on new requirements to strengthen...more

King & Spalding

Impact of the Coronavirus Disease 2019 (COVID-19) on Public and Private Securities Offerings

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The rapidly developing news on the spread of the Coronavirus Disease 2019 (“COVID-19”) in the United States and other nations across the world has resulted in significant turmoil in global financial markets, bringing renewed...more

Katten Muchin Rosenman LLP

Bridging The Week - March 2020 #2

Last week, international regulators began issuing guidance and/or relief to impacted firms in response to the spread of COVID-19. The impact of this novel coronavirus has already begun materially to affect operations and...more

Vedder Price

Coronavirus: Considerations for Financial Institutions

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Over the past two weeks, the international markets have been roiling under news that the COVID-19 virus, commonly referred to as the coronavirus, may be spreading. The Board of Governors of the Federal Reserve System (the...more

A&O Shearman

UK Prudential Regulator Consults on Outsourcing and Third Party Risk Management Rules

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The U.K. Prudential Regulation Authority is consulting on proposals for modernizing the regulatory framework on outsourcing and third party risk management by the financial services sector. The proposals are relevant to...more

A&O Shearman

UK Regulators Launch Consultation on Operational Resilience in Financial Services

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The Bank of England, U.K. Prudential Regulation Authority and U.K. Financial Conduct Authority have published a shared policy summary and consultation papers on strengthening operational resilience in the financial services...more

K2 Integrity

Political Crisis in Spain

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Following the 1 October referendum on the independence of Catalonia and the national police’s actions to prevent the referendum—which many viewed as both disproportionate and ineffective—the president of the Generalitat of...more

Ballard Spahr LLP

Investment Management Update

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SEC Issues Guidance on Mutual Fund Fee Structure - The Securities and Exchange Commission’s (SEC) Division of Investment Management recently issued a guidance update addressing disclosure issues and certain procedural...more

Proskauer Rose LLP

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

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This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

Carlton Fields

What’s Your Game Plan? Offensive or Defensive: Playing to Your Strengths [Expect Focus – October 2016]

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- AXA Prevails at First Post-Jones v. Harris Excessive Fee Trial - Potential Secondary Effects of Regulatory Examinations: Evidentiary Issues and Preclusion in Parallel Litigation - On The Horizon: Global...more

Ballard Spahr LLP

Investment Management Update

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Investment Adviser AXA Wins Excessive Fee Trial - A federal judge in New Jersey has ruled in favor of AXA Equitable Life Insurance Company (AXA Equitable) and its wholly owned subsidiary, AXA Equitable Funds Management...more

Ballard Spahr LLP

Investment Management Update

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The Securities and Exchange Commission Adopts Amendments to Form ADV and Investment Adviser Act Rules - The Securities and Exchange Commission (SEC) adopted amendments to Form ADV and Investment Advisers Act of 1940...more

Stinson - Corporate & Securities Law Blog

SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans

In its third rulemaking in two days without holding a meeting, the SEC proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans. The...more

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