December 4, 2016

Securities, SEC, & Financial Institution Law News

The National Law Review is a free resource of articles addressing legal issues related to the financial services and securities industries.  Legal topics addressed include: financial regulatory, compliance, debt finance, broker-dealer, insolvency and restructuring, investment management and structured transactions. Details of actions by state and local governments, and by other governmental agencies as well as mediation and arbitration and civil actions from across the U.S. are added daily. 

Date Title Organization
4
Dec
UK FCA Confirms No Guidance to be Published on the Application of the UCITS Remuneration Code Katten Muchin Rosenman LLP
3
Dec
EU Commission Publishes Roadmap of Proposal To Criminalize Money Laundering Katten Muchin Rosenman LLP
3
Dec
MiFIR Delegated Regulations Published in Official Journal of the EU Katten Muchin Rosenman LLP
2
Dec
CFTC Grants CME Clearing Europe Registration as a Derivatives Clearing Organization Katten Muchin Rosenman LLP
2
Dec
Post-Election Outlook for Financial Regulatory Agencies: U.S. Securities and Exchange Commission Covington & Burling LLP
2
Dec
Changes in Required Minimum Security Deposits for Forex Transactions Katten Muchin Rosenman LLP
2
Dec
NFA Proposes Changes to Forex Customer Disclosure Requirements Katten Muchin Rosenman LLP
2
Dec
NY Financial Services Companies’ 2017 Resolution: Cybersecurity Foley & Lardner LLP
2
Dec
November 2016 Corporate Law & Governance Update:Emphasis on Director Education; The Strategic Asset Board; Update for the Compensation Committee; New Yates Developments; An Auspicious Governance Anniversary; McDermott Will & Emery
2
Dec
Re-Opening NAFTA: Consequences for U.S. Businesses Covington & Burling LLP
2
Dec
Unregistered Sales Of Certificates Of Deposit Allen Matkins Leck Gamble Mallory & Natsis LLP
2
Dec
Proxy Advisory Firms in the Spotlight: Looking in the Crystal Ball Drinker Biddle & Reath LLP
1
Dec
Financing Basics for Entrepreneurs: Borrowing for Working Capital and Long-Term Capital Needs Greenberg Traurig, LLP
1
Dec
A First of its Kind—QFC Judgement Successfully Enforced by the Qatar Central Bank K & L Gates
1
Dec
Compensation Based on Assets Under Management May Raise Conflict of Interest Concerns Requiring a Prohibited Transaction Exemption Epstein Becker & Green, P.C.
1
Dec
Shenzhen-Hong Kong Stock Connect Finally Launches on 5 December 2016 K & L Gates
1
Dec
Comptroller of the Currency Head Argues Against Loosening Bank Standards Covington & Burling LLP
1
Dec
UK Competition and Markets Authority Opens Investigation into Auction Service Providers K & L Gates
1
Dec
Post-Election Outlook for Financial Regulatory Agencies: Federal Deposit Insurance Corporation Covington & Burling LLP
1
Dec
Amended Intrastate and Small Offering Exemptions to Take Effect in New Year Jones Walker LLP

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