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Supervision Securities Regulation

A&O Shearman

EC launches targeted consultation on barriers to EU capital markets integration

A&O Shearman on

The European Commission (EC) has published its targeted consultation on the integration of EU capital markets under its savings and investments union (SIU) strategy, accompanied by a press release and updated webpage. The...more

Latham & Watkins LLP

When Are CCOs on the Hook? FINRA Offers Guidance on CCO Liability

Latham & Watkins LLP on

Guidance clarifies assessment of liability under Rule 3110, including designation as supervisor, application of reasonableness standard, and factors for and against charging compliance officials. On March 17, 2022, the...more

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