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Broker-Dealer › Fiduciary Duty › Financial Conduct Authority (FCA)

Cadwalader, Wickersham & Taft LLP

Broker Dealer Commissions: UK Supreme Court Hears Appeal in Johnson, Wrench, Hopcraft v Close Bros. and FirstRand

Cadwalader, Wickersham & Taft LLP on

Executive Summary - The UK Supreme Court last week heard arguments in the joined test cases of Johnson v FirstRand Bank Ltd, Wrench v FirstRand Bank Ltd and Hopcraft v Close Brothers Ltd. At issue were findings by the...more

A&O Shearman

UK Supreme Court opens three-day hearing on motor finance commission complaints

A&O Shearman on

The three-day hearing of the significant Supreme Court case involving motor finance commission complaints has begun. The case involves the conjoined appeals involving two lenders who are challenging the decision of the Court...more

A&O Shearman

Raising the Bar? SEC Proposes Broker-Dealer Standard of Care and Guidance on Investment Advisers’ Fiduciary Standard

A&O Shearman on

On April 18, 2018, the U.S. Securities and Exchange Commission (“SEC”) took the long-awaited step of proposing rules, interpretations and guidance (the “Proposed Rules”) that would seek to enhance and clarify the standards of...more

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