In This Issue:
- Meeting of the SEC Advisory Committee on Small and Emerging Companies
- FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring...more
6/15/2015
/ Bank Fraud ,
Bank of England ,
British Bankers' Association ,
Business Development ,
Capital Requirements ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
Crowdfunding ,
Derivatives ,
Disclosure Requirements ,
Diversity ,
Dodd-Frank ,
DSIO ,
Employment Policies ,
Equal Employment Opportunity Commission (EEOC) ,
EU ,
European Banking Authority (EBA) ,
Fair and Effective Markets Review (FEMR) ,
FICC ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Finders ,
GameStop ,
IMF ,
JOBS Act ,
LGBTQ ,
OMWI ,
Privacy Policy ,
Regulation S-K ,
Rule 147 ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Swaps ,
UK ,
World Bank
On May 28, the Financial Conduct Authority (FCA) published its paper, which it had provided to the European Commission (Commission) in response to the Commission’s green paper on building a capital markets union (CMU) within...more
In This Issue:
- SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules
- States Challenge Blue Sky Preemption Under Regulation A+
- FINRA Proposes Revised BrokerCheck Hyperlink Rule
-...more
6/8/2015
/ Blue Sky Laws ,
BrokerCheck ,
Capital Markets ,
CFTC ,
Clawbacks ,
Disclosure Requirements ,
EU ,
European Commission ,
Executive Compensation ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Investment Adviser ,
National Futures Association ,
NFA ,
Preemption ,
Public Comment ,
Regulation A ,
Securities and Exchange Commission (SEC) ,
Total Shareholder Return (TSR)
On April 21, the Financial Conduct Authority (FCA) updated its webpage of guidance on the United Kingdom’s national private placement regime (NPPR) for the marketing of non-EU funds in the United Kingdom by non-UK managers...more
On March 13, the UK regulator, the Financial Conduct Authority (FCA) published finalized guidance on its supervisory approach to financial promotions in social media (the “Guidance”). The range of social media within the...more
On March 10, the UK Financial Conduct Authority (FCA) updated its webpage relating to the review of and forthcoming changes to the European Union’s Markets in Financial Instruments Directive (MiFID). MiFID sets forth the...more
Further to the Corporate and Financial Weekly Digest article published on August 29, 2014, in which we described a letter (Letter) that the UK Financial Conduct Authority (FCA) had sent to the FCA Practitioner Panel the week...more
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 6, the Financial Conduct Authority (FCA) published an updated version of its transaction reporting user pack (TRUP).
The TRUP provides market participants (including FCA authorized firms, firms from non-EU...more
On February 3, the Financial Conduct Authority (FCA) published a report in light of its review of the regulatory regime for crowdfunding and the promotion of non-readily realizable securities by other media....more
On December 15, the UK Financial Conduct Authority (FCA) imposed a financial industry ban on Jonathan Paul Burrows in light of Mr. Burrows’ repeated failures to purchase a valid ticket for his daily commute to London. In the...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
On November 17, the UK Financial Conduct Authority (FCA) published a report setting out its findings pursuant to a review it carried out earlier in the year into FCA-regulated firms’ complaint handling arrangements. The FCA...more
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 September 15, the UK Financial Conduct Authority (FCA) published a press release in which it announced that a group of persons found guilty of insider dealing in 2012 and 2013 have now been ordered to pay more than £3.2...more
On August 26, the UK Financial Conduct Authority (FCA) published a letter dated August 22, 2014 (Letter) addressed to the FCA Practitioner Panel. The Panel is a statutory body representing the interests of the financial...more
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 5, the UK Financial Conduct Authority (FCA) issued temporary product intervention rules introducing restrictions on the ability of authorized persons to distribute contingent convertible instruments (CoCos) to...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