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Searching Content indexed under Compliance by Morrison & Foerster LLP ordered by Published Date Descending.
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First State Charges Broker-Dealer In Connection With Violations Of DOL Fiduciary Rule
On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the "Division") of the Office of the Secretary of the Commonwealth charged a registered broker-dealer ...
United States
21 Feb 2018
2
CFPB's Third Request For Information Broadly Seeks Feedback On Enforcement
In its third Request for Information to "ensure the Bureau is fulfilling its proper and appropriate functions to best protect consumers," the Consumer Financial Protection Bureau seeks comments...
United States
9 Feb 2018
3
Acting Comptroller Endorses Fintech Charters
In July 19, 2017 remarks prepared for delivery to the Exchequer Club in Washington, D.C., Acting Comptroller of the Currency Keith Noreika expressed his support for the Office of the Comptroller of the Currency's efforts to establish national bank charters for financial technology companies.
United States
4 Aug 2017
4
Going Public: UK Launches Mandatory Gender Pay Gap Reporting
Today, the UK mandatory gender pay reporting regime will come into force under the Equality Act 2010 (Gender Pay Gap Information) Regulations 2017.
UK
13 Apr 2017
5
DOL Fiduciary Rule Delayed By 60 Days
Late in the day on April 4, 2017, the Department of Labor ("DOL") made publicly available its final rule...
United States
12 Apr 2017
6
Enforcing the Regulatory Reform Agenda: Bureaucracy Designed To End Bureaucracy
On February 24, 2017, President Trump issued an Executive Order–"Enforcing the Regulatory Reform Agenda–that creates mechanisms designed to reduce bureaucracy."
United States
10 Mar 2017
7
SEC Staff Discusses Investment Company Reporting Modernization And Asset Management Industry Trends At SEC Speaks In 2017 Conference
On February 24, 2017, the U.S. Securities and Exchange Commission's Division of Investment Management (the "Staff") participated in a panel at the Practising Law Institute's SEC Speaks in 2017 conference.
United States
10 Mar 2017
8
Top Ten International Anti-Corruption Developments For January 2017
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments from the past month, with links to primary resources.
Worldwide
9 Mar 2017
9
OCIE Identifies Top Five Adviser Compliance Issues
OCIE also provided examples of the types of deficiencies they see within each compliance topic.
United States
21 Feb 2017
10
Rule 504 Small Entity Compliance Guide
The Securities and Exchange Commission recently released a Small Entity Compliance Guide for Issuers
United States
8 Feb 2017
11
Top Ten International Anti-Corruption Developments For December 2016
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments from the past month, with links to primary resources.
United States
8 Feb 2017
12
Enforcement Focus On Advisers' "Cherry-Picking" Continues
The SEC banned the managing member and chief compliance officer of a registered investment adviser from the securities industry for illegal "cherry-picking" investments among the adviser's managed accounts.
United States
6 Feb 2017
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