SEC to Consider Adoption of Pay Ratio Disclosure Rules at August 5 Opening Meeting -
On July 29, the Securities and Exchange Commission, pursuant to a “Sunshine Act” notice, stated that it will hold an open meeting on...more
8/3/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Disclosure Requirements ,
EU ,
European Securities and Markets Authority (ESMA) ,
Foreign Jurisdictions ,
Investment Management ,
Jurisdiction ,
Pay Ratio ,
Remuneration ,
Securities and Exchange Commission (SEC) ,
Sunshine Act ,
UCITS
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
7/17/2015
/ Cross-Border Transactions ,
EMIR ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Markets ,
Investment Firms ,
MiFID ,
MiFID II ,
MiFIR ,
Regulation Technical Standards (RTS) ,
Supervision ,
Technical Standards
In this issue:
- SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures
- SEC Proposes Rule Requiring Executive Compensation Clawbacks
- FINRA Requests Comment on Revised Discretionary...more
7/13/2015
/ Audit Committee ,
CFTC ,
Clawbacks ,
Cross-Border ,
Enforcement Actions ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Futures ,
Greece ,
Hong Kong ,
Margin Requirements ,
MiFID II ,
Securities and Exchange Commission (SEC) ,
Swaps
In this issue:
- SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting
- CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors
- CFTC...more
In This Issue:
- NYSE Amends "Late Filer Rule"
- CFTC Responds to District Court's Remand Order on Certain Cross-Border Swaps Rules
- Delaware Chancery Court Addresses Proper Purpose for Inspection...more
3/16/2015
/ CFTC ,
Cross-Border Transactions ,
Enforcement ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Inspection Rights ,
Late Filer Rule ,
MiFID II ,
NYSE ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Whistleblowers
In this issue:
- CFTC’s Energy and Environmental Markets Advisory Committee To Hold Meeting
- CFTC Announces Members of Market Risk Advisory Committee
- NFA Notifies SDs and MSPs of Annual Questionnaire...more
2/23/2015
/ CFOs ,
CFTC ,
Derivatives ,
Dodd-Frank ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Statements ,
Foreign Exchanges ,
MiFID II ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Stock Sale Agreements ,
UK ,
Whistleblowers
On February 3, the European Securities and Markets Authority (ESMA) published its final report to the European Commission (EC) with technical advice on possible new secondary legislation under the European Union’s Market...more
The European Securities and Markets Authority’s (ESMA’s) final advice to the European Commission, which may (if the European Commission concurs) be transposed into new rules under the revised and re-cast Markets in Financial...more
In this issue:
- New Law Aligns Clearing and Margin Exceptions for Swaps
- CFTC Staff Extends No-Action Relief to Certain Reporting Counterparties Masking Identifying Information Pursuant to Non-US Law
-...more
1/19/2015
/ Appraisal ,
CFTC ,
Compliance ,
EMIR ,
Enforcement Actions ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Fixed Income Investments ,
LiquidAlts ,
MiFID ,
No-Action Relief ,
SEC Examination Priorities ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Shareholders ,
Swap Clearing ,
Swaps ,
Terrorism Insurance ,
TRIA
On December 17, the European Securities and Markets Authority (ESMA) published a report on high-frequency trading (HFT) in EU equity markets....more
On December 11, the European Securities and Markets Authority (ESMA) published a press release stating that it had conducted a review of how EU national regulators supervise conduct of business rules under the Markets in...more
In this issue:
- Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements
- SEC Approves MSRB Best Execution Rule
- SEC Sanctions Operator of Unregistered Virtual...more
12/15/2014
/ Banks ,
Basel Committee on Banking Supervision (BCBS) ,
Bitcoin ,
Currency Exchange ,
Cybersecurity ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Insider Trading ,
Investors ,
MiFID ,
MSRB ,
Proxy Season ,
Proxy Statements ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Shareholders ,
Virtual Currency
In this issue:
- Proxy Advisory Firms Release Policy Updates for 2015
- CBOE Makes Enhancements to Its Market-Maker Trade Notification System
- OTC Derivatives Regulators Group Issues Report to G20...more
11/17/2014
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
CBOE ,
CFTC ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
G20 ,
Glass Lewis ,
Institutional Shareholder Services (ISS) ,
Market Making ,
Over The Counter Derivatives (OTC) ,
Prepaid Payment Products ,
Proxy Season ,
Proxy Voting Guidelines
On October 27, the Commissione Nazionale per le Società e la Borsa (CONSOB), the Italian securities regulator, issued an emergency short selling measure under the European Union’s Short Selling Regulation (Regulation...more
In this issue:
- ISS Announces Launch of QuickScore 3.0
- SEC Provides Relief to GSEC From Rule 204 Close-Out Requirements
- CFTC Extends Relief to FCMs from Certain Commingling Requirements
-...more
11/3/2014
/ Banks ,
CCPs ,
CFTC ,
Class Action ,
Commingling ,
Commodities ,
Compliance ,
EMIR ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Fixed Income Investments ,
Flood Insurance ,
Foreign Banks ,
Foreign Exchanges ,
Futures Commission Merchants (FCMs) ,
Institutional Shareholder Services (ISS) ,
OCC ,
Risk Retention ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
UK
In this issue:
- Oregon State Court Refuses to Enforce Forum Selection Bylaw
- SEC Announces Pilot Program to Widen Tick Sizes for Smaller Companies
- NFA Issues Notice Setting Effective Date for Risk...more
9/2/2014
/ Arbitration ,
Attorney's Fees ,
CFTC ,
Compliance ,
Confidentiality Agreements ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forum Selection ,
Mandatory Arbitration Clauses ,
NFA ,
Restrictive Covenants ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Shareholder Litigation ,
Shareholders ,
Small Business
On August 8, the European Securities and Markets Authority (ESMA) published official translations of its Guidelines on Reporting Obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the Alternative Investment Fund...more
In this issue:
- SEC’s Office of Investor Education and Advocacy Releases Alert on Identifying Fraudulent Private Placements
- ICE Futures U.S. Issues Amendments to EFRP Rule and FAQs
- Consumer Financial...more
8/18/2014
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Banks ,
Derivative Suit ,
EU ,
European Securities and Markets Authority (ESMA) ,
Federal Savings Associations ,
Financial Conduct Authority (FCA) ,
Fraud ,
Immigration and Customs Enforcement (ICE) ,
OCC ,
OCIE ,
PSLRA ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Virtual Currency