The European Supervisory Authorities (ESAs) recently published a comprehensive guide (Guide) on the oversight of critical information and communications technology (ICT) third-party service providers (CTPPs) under the EU...more
The European Commission (Commission) recently published a letter (Letter) that it sent to the European Supervisory Authorities (ESAs) rejecting certain draft regulatory technical standards (RTS) under the EU Digital...more
With less than three months remaining until the implementation date of the EU Digital Operational Resilience Act (DORA), this note highlights recent developments in the EU’s efforts to facilitate firms’ transition to DORA...more
BROKER-DEALER -
2021 Advisory Committee Overview and Engagement Notice -
On March 26, the Financial Industry Regulatory Authority (FINRA) published a notice encouraging employees of member firms and other interested...more
SEC/CORPORATE –
SEC Proposes to Modernize Business, Legal Proceedings and Risk Factor Disclosures Required by Regulation S-K –
On August 8, the Securities and Exchange Commission proposed amendments to modernize the...more
8/19/2019
/ Business Development ,
Disclosure Requirements ,
EMIR ,
EU ,
European Commission ,
European Supervisory Authorities (ESAs) ,
GAAP ,
Investment Firms ,
MD&A Statements ,
MiFID II ,
Proposed Amendments ,
Public Comment ,
Regulation S-K ,
Risk Factors ,
Securities and Exchange Commission (SEC)