SEC/CORPORATE -
Proxy Advisory Firms Release Policy Updates for 2016 -
Institutional Shareholder Services (ISS) and Glass Lewis, two leading proxy advisory firms, recently published their 2016 proxy voting...more
12/7/2015
/ Banking Sector ,
Broker-Dealer ,
CFTC ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
MiFID II ,
OCC ,
Overboarding ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Waiting Periods
On September 14, the European Securities and Markets Authority (ESMA) published its Trends, Risks and Vulnerabilities Report No. 2 for 2015 (the TRV) on the European securities markets. The TRV covers the time period from...more
On June 29, 2015, the Council of the European Union announced that its Committee of Permanent Representatives (Coreper) approved a final compromise text of the proposed regulation on reporting and transparency of securities...more
CFTC Extends Designation of DTCC-SWIFT as Provider of Legal Entity Identifiers -
On July 20, the Commodity Futures Trading Commission issued an order extending the designation of the Depository Trust and Clearing...more
7/27/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
AML/CFT ,
Banking Sector ,
CFTC ,
Chief Compliance Officers ,
EU ,
FATF ,
Federal Reserve ,
FinCEN ,
Global Systemically Important Banks (G-SIBs) ,
Illegal Tipping ,
Insider Trading ,
Securities and Exchange Commission (SEC) ,
Securities Fraud
In This Issue:
- SEC Denies Motion to Stay Regulation A+
- SEC Requests Public Comment on ETPs
- CFTC Further Extends Valuation Data Reporting Relief for SDs and MSPs
- Eleventh Circuit Upholds...more
6/22/2015
/ Alternative Investment Funds ,
AMF ,
Banking Sector ,
Broker-Dealer ,
Brokers ,
CFTC ,
Commodities ,
Corporate Governance ,
Exchange-Traded Products ,
FDIC ,
Food Commodities ,
Insider Trading ,
Mortgage Lenders ,
Mortgages ,
OCC ,
Regulation A ,
Securities and Exchange Commission (SEC) ,
Wire Fraud
On November 14, the European Banking Committee (Committee) of the European Commission (EC) voted to extend the December 15 transitional deadline under the EU Capital Requirements Regulation (CRR). If the extension had not...more