News & Analysis as of

DMO Financial Conduct Authority (FCA)

The Financial Report - Volume 5, No. 11 • June 2016 (Global)

by DLA Piper on

Discussion and Analysis - A few years ago, David Blass, then Chief Counsel of the SEC’s Division of Trading and Markets, created a stir when he said in a speech that private fund advisers should be concerned about some...more

The Financial Report - Volume 4, No. 9 • May 2015 (Global)

by DLA Piper on

Discussion and Analysis - Securities and investment advisory services offered through . . . That phrase is ubiquitous among small and “independent” financial services firms, regularly appearing in 6-point or...more

Financial Regulatory Developments Focus - May 2014

by Shearman & Sterling LLP on

In this issue: - Derivatives - Regulatory Capital - Financial Services - Market Infrastructure - Enforcement - Financial Crime - Events - Excerpt from Derivatives: CFTC...more

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Cybersecurity

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