News & Analysis as of

European Central Bank Retail Investors

Proskauer Rose LLP

Regulation Round Up - November 2019

Proskauer Rose LLP on

1 November - The Prudential Regulation Authority ("PRA") published a Dear CEO letter in relation to the reliability of regulatory returns. Firms are expected, if asked, to be able to respond promptly to a request from...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

SEC Proposes to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships with Investment Professionals - On April 18, the Securities and Exchange Commission voted to propose a package of...more

A&O Shearman

Key Regulatory Topics: Weekly Update (23 Feb - 1 March 2018)

A&O Shearman on

BREXIT - UK Government response to HoC Treasury Committee report on transitional arrangements - On 27 February, the HoC Treasury Committee published the UK government's response to the Committee's report on transitional...more

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