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On 4 September, the Financial Conduct Authority (FCA) published a website seeking feedback (Consultation) on draft questions and answers...
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The Financial Industry Regulatory Authority (FINRA) released a comprehensive update on its insights into its member firms’ involvement in...
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Cybersecurity continues to dominate headlines, concern investors and have substantial and very real implications for asset and wealth...
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The American Bar Association’s (ABA) Standing Committee on Ethics and Professional Responsibility issued Formal Opinion 512, attempting...
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On June 28, 2024, the U.S. Supreme Court (the “Court”) issued a decision in Loper Bright Enterprises v. Raimondo and Relentless, Inc. v....
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The CME has issued a revised Market Regulation Advisory Notice on Supervisory Responsibilities for Employees and Agents that includes a...
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It is quite common for high-net-worth individuals to have income streams from multiple countries. For example, an individual may have an...
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On April 15, the Department of Justice (DOJ) publicly released a memorandum fleshing out its previously announced corporate whistleblower...
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According to Law360, the Senate Budget Committee recently held a hearing regarding offshore tax evasion where senators made clear that,...
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As if implementing rules to make USB-C ports mandatory for electronic devices was not enough, yesterday the European Union approved the...
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Seeking to ensure that designated contract markets (DCMs) and swap execution facilities (SEFs) adequately incorporate an independent...
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As background, the SEC adopted amendments to Rule 15b9-1 of the Securities Exchange Act of 1934 (SEA Rule 15b9-1) that require a...
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FINRA filed a rule amendment with the SEC on January 2 to propose amending FINRA Rule 3240, Borrowing From or Lending to Customers...
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The Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission on November 13,...
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On October 13, 2023, the U.S. Department of Health and Human Services Office of Inspector General (“OIG”) posted Advisory Opinion No....
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The U.S. Corporate Transparency Act (CTA) is the first comprehensive ultimate beneficial owner (UBO) and controlling persons reporting...