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Supervision Financial Markets

Dechert LLP

FINRA Issues 2020 Examination Priorities

Dechert LLP on

The Financial Industry Regulatory Authority published its 2020 Risk Monitoring and Examination Priorities Letter (Priorities Letter) on January 9, 2020. The Priorities Letter identifies four core areas on which FINRA will...more

Katten Muchin Rosenman LLP

ESMA Publishes Final Report on Draft Rules Under MiFID II

On June 29, the European Securities and Markets Authority (ESMA) published its final report (Report) on draft rules (both draft implementing technical standards (ITS) and draft regulatory technical standards (RTS)) relating...more

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