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Searching Content indexed under Compliance by Anna T. Pinedo ordered by Published Date Descending.
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SEC Summarizes Regulation Best Interest And Form CRS Relationship Summary
If you were somewhat put off by the prospect of reading over 1,000 pages of adopting releases for Regulation Best Interest and the Form CRS relationship summary and amendments to Form ADV, you are now
United States
18 Oct 2019
2
Frequent Principal And Trading Agency Cross Transactions Compliance Issues
Section 206(3) makes it unlawful, with certain limited exceptions, for an investment adviser to directly sell or purchase securities to and from clients or to act as a broker for a third party effecting
United States
17 Oct 2019
3
Regulation Best Interest
On June 5, 2019, the Securities and Exchange Commission (SEC) adopted Regulation Best Interest (Rule 15l-1 under the Securities Exchange Act of 1934 (Exchange Act)),
United States
25 Jun 2019
4
OCIE's Retail Investor Protection Focus
On April 29, 2019, Securities and Exchange Commission Office of Compliance Inspections and Examinations Director Peter Driscoll delivered a speech on the OCIE's 2019 priorities, in which he identified, among other priorities, the following:
United States
10 Jun 2019
5
Proposed Legislation To Watch
There are a number of legislative proposals making their way through the House and the Senate that would affect public reporting companies and are gathering some momentum, so they bear watching.
United States
28 Feb 2019
6
REVERSEinquiries Volume 2, Issue 2
On January 22, 2019, FINRA issued its 2019 Risk Monitoring and Examination Priorities Letter1 (the "Letter") ...
United States
28 Feb 2019
7
SEC Staff Releases Hedging Disclosure Compliance Guidance
The Staff of the Securities and Exchange Commission ("SEC") released a question and answer guide relating to the recently adopted rule amendments requiring disclosure of company policies ...
United States
27 Feb 2019
8
OCIE Risk Alert On Electronic Messaging
The Securities and Exchange Commission's Office of Compliance Inspections and Examinations released a Risk Alert on December 14, 2018 encouraging investment advisers to review their Investment Advisers Act of 1940 ...
United States
22 Jan 2019
9
REVERSEinquiries, Volume 1, Issue 8
REVERSEinquiries is Mayer Brown's structured and market-linked products-focused newsletter.
United States
13 Dec 2018
10
SEC Office Of Small Business Updates
At the Practising Law Institute's Annual Institute on Securities Regulation, a number of updates were provided by the Staff regarding ongoing initiatives within the Office of Small Business.
United States
13 Nov 2018
11
Cybersecurity And Board Oversight
In a recent speech, SEC Commissioner Kara Stein commented on the importance of cybersecurity.
United States
4 Oct 2018
12
Responsibilities When Outsourcing To Third-Party Service Providers
Discussions on regulatory requirements generally focus on substance. Less often highlighted is how the nuts and bolts of compliance and daily operations are actually carried out—often by third-party service providers.
United States
17 Aug 2018
13
Social Media Compliance Guide For Issuers, Broker-Dealers, And Advisers
The use of social media raises many securities law and compliance challenges for issuers, broker-dealers, and investment advisers.
United States
12 Jul 2018
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