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Proposed Regulation › Duty of Care

Fisher Phillips

Proposed New Jersey Regulations Would Require Major Privacy Compliance Shifts for Businesses

Fisher Phillips on

New Jersey officials recently released proposed privacy regulations that would create several new compliance obligations for businesses above and beyond what existing state law and many other state laws require, meaning you...more

Eversheds Sutherland (US) LLP

The UK’s Financial Conduct Authority has proposed a heightened Consumer Duty on regulated firms

Eversheds Sutherland (US) LLP on

In December 2021, the United Kingdom’s Financial Conduct Authority (FCA) issued a consultation paper publishing a revised proposed new Consumer Duty that would govern FCA-regulated firms’ interactions with retail clients. The...more

Jones Day

Regulation Best Interest: The Next Big Thing for Broker-Dealer Cross-Border Private Wealth

Jones Day on

In April 2018, the U.S. Securities and Exchange Commission ("SEC") released Regulation Best Interest, or Reg BI, a proposed rule that will require broker-dealers to operate in the best interest of their customers. Under Reg...more

Burr & Forman

MSRB Files Proposed Municipal-Advisor Conduct Rule with SEC

Burr & Forman on

The MSRB filed its Municipal-Advisor conduct rule proposal with the SEC on April 15. The Rule G-42 proposal has been around the block twice, since the Board first floated it in January last year (Reg. Notice 2014-01). The...more

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