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Securities and Exchange Commission (SEC) › Swap Dealers › Conflicts of Interest

Bracewell LLP

Derivatives and Securities Dealers' Pre-Hedging of Client Trades Faces Potential New Rules

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Derivatives and securities dealers and some of their market users are locked in a potentially consequential debate over what legal standards should be adopted to govern pre-hedging (also called “pre-positioning” or...more

Goodwin

FDIC Requests Comments to Draft Principles for Climate-Related Financial Risk Management

Goodwin on

In This Issue. The Federal Deposit Insurance Corporation (FDIC) requested comments to draft principles for climate-related financial risk management; the U.S. Securities and Exchange Commission (SEC) published its 2022 exam...more

Proskauer Rose LLP

U.S. Department of Labor Finalizes Fiduciary Definition and Conflict of Interest Rule

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On April 6, 2015, the U.S. Department of Labor (Department) issued its highly anticipated final rule addressing when a person is considered to be a fiduciary under the Employee Retirement Income Security Act of 1974 (ERISA)...more

Katten Muchin Rosenman LLP

Bridging the Week - August 2015 #3

Katten Muchin Rosenman LLP on

Hackers and Traders Charged by SEC and Department of Justice in International Securities Fraud Scheme - The computer servers of three major newswire companies were allegedly hacked as part of an elaborate illicit...more

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