Podcast - Trends Affecting the Grocer and Retail Space
Videocast: Asset management regulation in 2020 videocast series – SEC’s OCIE exam priorities
States Sue SEC in Ongoing Fight Over Reg BI
SEC Activity with Fixed Income and Credit Funds
Unless you rely solely on streaming services, at some point in recent years, you have likely seen Tom Selleck pitching reverse mortgages as a retirement strategy. Is that a product for you? Or your parents? This article won’t...more
HM Treasury publishes the outcome and recommendations of the UK Secondary Capital Raising Review - On 19 July 2022, HM Treasury published the final report (the "Report") of the UK Secondary Capital Raising Review, which...more
In an opinion unsealed on July 3, 2019, Judge Laura Taylor Swain of the U.S. District Court for the Southern District of New York granted summary judgment to a mutual fund adviser and dismissed an excessive fee claim brought...more
The Financial Conduct Authority is seeking input on its evaluation of the Retail Distribution Review and Financial Advice Market Review, two initiatives introduced in 2006 and 2015, respectively, which aimed to enhance the...more
Commons Treasury Committee report on crypto-assets - The House of Commons Treasury Committee published its report on crypto-assets. The report relates to the digital currencies inquiry the Committee launched earlier this...more
Electronic Structured Product Systems and FINRA’s Robo-Advisor Report - In a prior issue of this publication, we wrote about electronic structured note issuance platforms, and how these might be affected by U.S....more