Aug 29, 2024 FCA Proceeds with the ‘New’ Option for Investment Research Payments By Neil Robson Christopher Collins Ciara McBrien Sara Portillo +1 more... Show less The Financial Conduct Authority (FCA) has recently published its Policy Statement on Payment Optionality for Investment Research...
Aug 19, 2024 ESG Corporate Reporting Requirements - Don’t miss the deadline to comply! By Neil Robson Brigitte Weaver Christy Wilson The new Corporate Sustainability Reporting Directive the “CSRD” was adopted by the EU in April 2021 to meet its Paris Agreement climate...
Aug 16, 2024 SEC Scrutiny into Cash Sweep Programs: What Investment Advisers Need to Know By Michael Diver Susan Light Wayne Aaron Lindsey Smith David Luger David Goldberg +3 more... Show less In recent years, the US Securities and Exchange Commission (SEC) has initiated several probes into how advisory firms manage their cash...
Aug 15, 2024 Crypto Compliance in Focus: FINRA Unveils Key Insights on Member Firms’ Digital Asset Activities By Susan Light James Brady Alex Kim The Financial Industry Regulatory Authority (FINRA) released a comprehensive update on its insights into its member firms’ involvement in...
Aug 14, 2024 FTC Finalizes Rule Banning Fake Reviews By Chris Cole The FTC has finalized its new rule banning fake consumer reviews. The rule, which will become effective in October, prohibits selling or...
Aug 12, 2024 Court Denies SEC’s Request for Disgorgement in Ripple Case By Dan Davis Alex Kim In a setback to the Securities and Exchange Commission’s (SEC) crypto enforcement efforts, a federal court has denied the agency’s...
Aug 09, 2024 (mis)Conduct, Money & Reputation: A Look at Equifax, CrowdStrike & Cybersecurity By Katten Muchin Rosenman LLP Cybersecurity continues to dominate headlines, concern investors and have substantial and very real implications for asset and wealth...
Aug 09, 2024 FCA Consults on Proposals for the UK Wholesale Markets By Carolyn Jackson Nathaniel Lalone Neil Robson Christopher Collins Ciara McBrien Sara Portillo +3 more... Show less On 26 July 2024, the Financial Conduct Authority (FCA) published three consultations in relation to: the new Public Offers and Admission...
Aug 08, 2024 Navigating the Unique Aspects of Franchise Workouts: A Conversation with Dan Dooley By Paul Musser In the latest TMA Chicago Midwest Podcast episode, I sat down with Dan Dooley, President and Chief Executive Officer of MorrisAnderson....
Aug 02, 2024 Artists Sue SEC, Challenging Agency’s Authority Over Digital Art and NFTs By Alex Kim Two artists have filed a lawsuit against the Securities and Exchange Commission (SEC), contesting the agency’s assertion of authority...
Aug 01, 2024 ABA Weighs in on Generative AI Use in Legal Practice By Michael Justus Alex Kim The American Bar Association’s (ABA) Standing Committee on Ethics and Professional Responsibility issued Formal Opinion 512, attempting...