Rethinking Records Retention
2024 Payments Year in Review: CFPB and FTC Regulatory Trends – Part Four — Payments Pros – The Payments Law Podcast
DE Talk | If It’s Not in Writing, It Never Happened: Applicant Tracking & Recordkeeping Strategies to Ensure OFCCP Compliance
California Regulation of Charitable Fundraising Platforms Part 2 - Reporting Due Diligence, Recordkeeping, and Disclosure Rules
Episode 312 -- Eddie Green, CEO SnippetSentry, on Communications Preservation Risks
Episode 298 -- Electronics Communications Risks and Ephemeral Messaging
A Look Into the FDA and USDA Regulatory Regimes
Nonprofit Basics: Meeting Minutes Best Practices
The Risk Roundtable: Best Practices for Litigation to Help After an Accident
PLI's inSecurities Podcast - Compliance and Enforcement Considerations for Private Funds & RIAs
California Employment News: Best Practices for Maintaining Employee Records
OSHA Recordkeeping Regulations: Understanding the Fine Print
FLSA and Wage and Hour Issues for Restaurants
#WorkforceWednesday: OSHA Updates COVID-19 Guidance, NLRB GC’s Priorities, Biometrics at Work - Employment Law This Week®
[Webinar] Common Massachusetts Cannabis Business Compliance Pitfalls
Risk Prevention Strategies: Avoiding Costly FLSA Missteps
How to Navigate the After Effects of the U.S. Stimulus Packages
Regulation Best Interest Videocast Series: Regulation BI Recordkeeping Requirements
Podcast: Private Fund Regulatory Update – Network and Cloud Storage
January is at least eight weeks – I’m certain of it. Now that it’s February we know who’s running the CFTC and its different Divisions, for the time being. Acting Chair Pham comes to her position with a long history of...more
The Securities and Exchange Commission (the “SEC”) recently adopted amendments1 to Rule 35d-1 under the Investment Company Act of 1940, the fund “Names Rule” (“Amendments”). In the Release, the SEC noted that the Amendments...more
Contexte - Après un processus de consultation qui aura duré 10 ans, les Autorités canadiennes en valeurs mobilières (les « ACVM ») ont publié le Règlement 93-101 sur la conduite commerciale en dérivés (le « Règlement »),...more
Background - After a 10-year long consultation process, the Canadian Securities Administrators (CSA) have published Multilateral Instrument 93-101 – Derivatives: Business Conduct (Rule), a core regulation governing dealing...more
On September 20, 2023, the US Securities and Exchange Commission (the “SEC”) voted, by a 4-1 vote, to adopt certain amendments (the “final rule” or the “amendments”) to Rule 35d-1 (the “Names Rule”) under the Investment...more
The Canadian Securities Administrators (CSA) announced that the regulatory authorities of each jurisdiction in Canada, except for British Columbia, have adopted Multilateral Instrument 93-101, entitled Derivatives—Business...more
The SEC has, for many years, used broker-dealer and associated persons’ failure to create and maintain books and records as a basis for the imposition of serious penalties. In recent actions, it appears to be continuing—and...more
On October 28, the Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”) and amended related rules designed to provide a modernized,...more
In the News. The Office of the Comptroller of the Currency (OCC) finalized its “true lender” rule, which establishes that a national bank or federal savings association (bank) is the “true lender” of a loan if, as of the...more
The Securities and Exchange Commission (the "SEC") recently proposed a revised version of new Rule 18f-4 (the "Proposed Rule") under the Investment Company Act of 1940, as amended (the "1940 Act"), which it originally...more
On November 25, 2019, the Securities and Exchange Commission (SEC) re-proposed Rule 18f-4 (“Rule 18f-4”) under the Investment Company Act of 1940, as amended (“1940 Act”). Rule 18f-4, if adopted, would alter the SEC’s...more
The Federal Deposit Insurance Corporation (“FDIC”) and Office of the Comptroller of the Currency (“OCC”) have finalized revisions to the proprietary trading and compliance program provisions of the Volcker Rule (the “2019...more
On April 19, 2018, the Canadian Securities Administrators (CSA) took a major step toward adopting a comprehensive regime for the regulation of those in the business of trading derivatives or advising on derivatives. The CSA...more
BROKER-DEALER - Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits - The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to...more
The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), signed into law on July 21, 2010, was the largest overhaul of the U.S. derivatives market in history. While there are still a few parts of Dodd-Frank...more
LIBOR Discontinuance and the Derivatives Markets - On July 27, the Chief Executive of the UK Financial Conduct Authority announced that, after the end of 2021, the FCA would no longer use its power to persuade or compel...more
The Canadian Securities Administrators (CSA) recently published National Instrument 94-102 – Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and the related Companion Policy (collectively,...more
Proposals made by the Securities and Exchange Commission (SEC) in 2015 to amend Form ADV and certain rules under the Investment Advisers Act of 1940 (Advisers Act) (SEC Proposes Significant Reporting Requirement Amendments to...more
The Securities and Exchange Commission (SEC) recently amended Form ADV to require investment advisers to disclose more information about their separately managed account business, aggregate data related to the use of...more
Effective June 5, 2016, changes to the Quebec Derivatives Regulation (QDR) came into force. The changes: - Expand the scope of the standardized derivatives exemption, such that it now affords relief from both the...more
Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. ...more
Novo Banco and CDS – A Post-Mortem - The 2014 ISDA Credit Derivatives Definitions updated the previous set of credit derivatives definitions to, among other things, include a credit event for “Governmental Intervention.”...more
In the almost six years since the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), the US Commodity Futures Trading Commission (CFTC) has, in large part, finalized its rulemakings...more
CFTC Issues Proposed Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps - On August 19, The U.S. Commodity Futures Trading Commission (CFTC) proposed amendments to existing rules relating...more
Trade reporting obligations take effect in Ontario, Quebec and Manitoba (Applicable Provinces) on June 30, 2015 and will require over-the-counter (OTC) derivatives transactions between “End-Users” to be reported if either or...more