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Stikeman Elliott LLP

OSC Publishes 2025 Examination Priorities for Dealers, Advisers, Investment Fund Managers and Other Regulated Entities

Stikeman Elliott LLP on

The Registration, Inspections and Examinations Division (“RIE”) of the Ontario Securities Commission (“OSC”) has released its 2025 examination priorities, which are informed by the OSC’s 2024-2030 Strategic Plan as well as...more

A&O Shearman

Regulatory monitoring: EU version Newsletter - July 2024

A&O Shearman on

1. Bank regulation - 1.1 Prudential Regulation - (a) General - (i) International - BCBS: Consultation on report regarding various technical amendments and FAQs - Status: Consultation - Deadline for the submission of...more

Mayer Brown

FINRA Reminds Members of Regulatory Obligations When Using Generative Artificial Intelligence (AI) and Large Language Models

Mayer Brown on

On June 27, 2024, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued Regulatory Notice 24- 09 (the “Notice”) reminding member firms that FINRA’s rules and the securities laws apply to the use of artificial...more

A&O Shearman

Regulatory monitoring: EU version Newsletter - March 2024

A&O Shearman on

1. Bank regulation- 1.1 Prudential regulation- (a) General- (i) International- BCBA: Basel III monitoring report- Status: Final- BCBS has published its latest monitoring report setting out the impact of the Basel III...more

Cadwalader, Wickersham & Taft LLP

FFFinance Forum in the Queen City October 2023 - Life ... And Finance ... Move Pretty Fast

Finance Forum Welcome Remarks - Good afternoon. Welcome to the Cadwalader Finance Forum. I’m Wes Misson, the Co-Chair of the Finance Group at Cadwalader....more

White & Case LLP

Financial Institutions M&A: Sector trends - June 2019: Stampede of the unicorns

White & Case LLP on

Financial institutions M&A sector trends: fintech — H1 2019 and outlook for H2 2019 - H1 2019 has seen European fintech M&A hit new heights. Fintechs have enjoyed funding support from established financial institutions,...more

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