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Financial Services Industry › Conflicts of Interest › Financial Regulatory Reform

K&L Gates LLP

Europe: FCA Advances Efforts to Address the UK’s EU Legislative Legacy, Starting With MIFID

K&L Gates LLP on

Following an HM Treasury policy statement, the FCA has published a consultation paper proposing amendments to some of the Markets in Financial Instruments Directive (MIFID) conduct of business and systems and controls rules...more

Cadwalader, Wickersham & Taft LLP

SEC Proposes Rule to Address Use of AI By Broker-Dealers and Investment Advisors

Cadwalader, Wickersham & Taft LLP on

Spurred by the prevalent use of predictive data analytics by broker-dealers and investment advisers to direct their recommendations to investors and to ensure that investor interests remain paramount, the Securities and...more

Bressler, Amery & Ross, P.C.

Maxine Waters Presses Biden to Rescind Reg BI

Bressler, Amery & Ross, P.C. on

President-Elect Joe Biden is quickly learning that the line of people seeking regulatory reform in the wake of the Trump administration's regulatory free-for-all is getting longer all the time. At the front of the line is...more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

The Investment Management Update keeps you apprised of recent developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management...more

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