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Proskauer Rose LLP

SEC Acting Chair Remarks on Private Capital-Raising and Retail Access to Private Companies

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In recent remarks at the Florida Bar's 41st Annual Federal Securities Institute and M&A Conference on February 24, 2025, SEC Acting Chair Mark Uyeda outlined his agenda for what he called a "return to normalcy" at the SEC. If...more

A&O Shearman

Navigating the Retail Investment Strategy Directive

A&O Shearman on

The Retail Investment Strategy Directive (“RISD”) aims to enhance investor protection in order to foster retail investors' participation to the financial market and improve overall market efficiency. By ensuring that...more

Walkers

Global Legal Insights FinTech 2024: Ireland chapter

Walkers on

The Irish government has been supportive of the development of the financial services sector in Ireland and this extends to fintech. The government’s strategy for the development of Ireland’s international financial services...more

Stikeman Elliott LLP

CSA Propose Binding Dispute Resolution Framework for Retail Client Complaints

Stikeman Elliott LLP on

The Canadian Securities Administrators (“CSA”) have proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (“NI 31-103”) and changes to its companion policy...more

Herbert Smith Freehills Kramer

SEC Accredited Investor Proposal Could Yield New Product Opportunities for Private Fund Managers

On Dec. 18, 2019, the Securities and Exchange Commission (SEC or Commission) proposed amendments to broaden the definition of “Accredited Investor” under Regulation D to cover a broader group of investors, including adding...more

Latham & Watkins LLP

Commission Publishes Study of EU Market in Retail Investment Products

Latham & Watkins LLP on

The Commission shares the results of a 2017 study into the current functioning of European markets for retail investment products. Key Points: ..The European Commission’s Final Report is the result of examining a broad...more

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