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Internal Reporting Settlement

Holland & Hart LLP

Three Takeaways From Recent SEC Enforcement Case

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The Securities and Exchange Commission (SEC) just announced a settled enforcement matter involving a public company and its CFO.  (AP File No. 3-21438)  The case presents three important takeaways for companies and...more

A&O Shearman

Final EU Guidelines For Improving Settlement Efficiency Published

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The European Securities and Markets Authority has published a final report and final Guidelines on standardized procedures and messaging protocols for investment firms under the Central Securities Depositaries Regulation....more

Dechert LLP

Comments on Proposed Changes to SEC Whistleblower Rules Highlight Challenges

Dechert LLP on

The numerous submissions made in response to the requests for comment by the Securities and Exchange Commission (the “SEC” or “Commission”) highlight that many of the proposed amendments to the whistleblower rules, if...more

A&O Shearman

Final EU Guidelines on Internalized Settlement Reporting Under the Central Securities Depositories Regulation

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The European Securities and Markets Authority has published final Guidelines on Internalized Settlement Reporting under the Central Securities Depositories Regulation. The CSDR, which introduces common standards for...more

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