News & Analysis as of

Effective Date Broker-Dealer

WilmerHale

PCAOB Delays Implementation of QC 1000 Until December 2026

WilmerHale on

The Public Company Accounting Oversight Board (PCAOB) announced yesterday that the effective date for QC 1000, A Firm’s System of Quality Control, would be delayed until December 15, 2026, though audit firms may elect to...more

Goodwin

EU AI Act: Key Points for Financial Services Businesses

Goodwin on

The European Union (EU) Artificial Intelligence Act (AI Act), Regulation (EU) 2024/1689 of the European Parliament and of the Council of 13 June 2024 laying down harmonised rules on artificial intelligence and amending...more

BCLP

SEC Reinforces the Importance of Cost Transparency

BCLP on

In advance of the June 30 effective compliance date for the Securities and Exchange Commission’s (the “SEC”) Regulation BI requirements, the SEC released an Order relating to transparency of fees, inaccurate communications,...more

3 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide