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European Commission Investment Adviser United Kingdom

Proskauer Rose LLP

Regulation Round Up - June 2025

Proskauer Rose LLP on

Welcome to the Regulation Round Up, a regular bulletin highlighting the latest developments in UK and EU financial services regulation....more

A&O Shearman

European Commission Publishes Retail Investment Strategy

A&O Shearman on

On May 24, 2023, the European Commission published a Retail Investment Strategy package aimed at enhancing retail investor protections across the EU and encouraging participation in the EU capital markets. The package...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Advice to Firms on Protecting Customers from Online Account...

BROKER-DEALER FINRA - Shares Practices Firms Use to Protect Customers from Online Account Takeover Attempts - On April 11, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-18 (Notice) in...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on CFTC Guidance for Futures Commission Merchants on Risk Assessments and...

BROKER-DEALER - 2021 Advisory Committee Overview and Engagement Notice - On March 26, the Financial Industry Regulatory Authority (FINRA) published a notice encouraging employees of member firms and other interested...more

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