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Cadwalader, Wickersham & Taft LLP
DDR intends to function as a registered SBSDR covering equity and debt security credit derivatives transactions.
Bryan Cave Leighton Paisner LLP
FINRA recently filed a Complaint against a Chief Executive Officer and Chief Compliance Officer of a registered broker-dealer alleging, among other things, that the individual
Arnold & Porter
On April 29, 2021, the departments of Justice, Commerce and Treasury announced that they had reached a global resolution with SAP SE (SAP), a multinational software company based in Germany...
McGuireWoods LLP
On March 3, 2021, the Securities and Exchange Commission's Division of Examinations (EXAMS) (formerly the Office of Compliance Inspections and Examinations (OCIE) released its 2021 examination...
McGuireWoods LLP
On March 9, 2021, the Federal Reserve in its Supervision and Regulation Letter (the Letter) provided guidance to Federal Reserve examiners and supervised institutions to assist
On April 29, 2021, the US Department of the Treasury's Office of Foreign Assets Control (OFAC) announced two settlements of potential civil liability with two companies...
Withers LLP
Hard on the heels of racial discord in the United States and the Black Lives Matter movement, the California legislature has taken another step toward its focus on diversity and equality.
Kelley Drye & Warren LLP
Last week, three U.S. agencies – the Office of Foreign Assets Control ("OFAC"), the U.S. Department of Commerce ("Commerce"), and the U.S. Department of Justice ("DOJ")...
K&L Gates
In Stream TV Networks, Inc. v. SeeCubic, Inc., C.A. No. 2020-0310-JTL (Del. Ch. Dec. 8, 2020), the Court of Chancery of the State of Delaware (the "Court") ruled that all
K&L Gates
In Teamsters Local 443 Health Services & Insurance Plan, et al. v. John G. Chou, et al., C.A. No. 2019-0816-SG (Del. Ch. August 24, 2020), the Delaware Court of Chancery (the "Court")...
K2 Integrity
A robust sanctions compliance program is a key part of financial crimes compliance programs for financial institutions as well as businesses engaged in global commerce.
Cahill Gordon & Reindel LLP
On March 5, 2021, the Securities and Exchange Commission ("SEC") charged AT&T, Inc. ("AT&T" or the "Company") and three executives in its Investor Relations Department (the "IR officers")...
Shearman & Sterling LLP
On April 26, 2021, Judge Sara L. Ellis of the Northern District of Illinois granted a motion to dismiss a putative securities class action asserting claims under Sections 10(b)...
Cadwalader, Wickersham & Taft LLP
FINRA proposed amendments to clarify the application of FINRA rules to security-based swaps.
TMF Group BV
Even as local regulatory, compliance and employment rules evolve, the United States of America remains very attractive for companies looking to invest and operate locally.
Cadwalader, Wickersham & Taft LLP
The CFPB delayed the compliance date for an amendment to the definition of the General Qualified Mortgage ("General QM") category under Regulation Z.
Finnegan, Henderson, Farabow, Garrett & Dunner, LLP
The Life Sciences industry can be particularly challenging for companies to navigate, often requiring careful navigation through rigorous testing and regulatory compliance.
Akin Gump Strauss Hauer & Feld LLP
Registered investment advisers are required to make filings with the Securities and Exchange Commission (SEC) each year and deliver certain information to their clients.
Mayer Brown
This February, the Financial Industry Regulatory Authority, Inc. ("FINRA") released its Report on FINRA's Examination and Risk Monitoring program (the "Report").
Mayer Brown
Quick Insights on Congressional Investigations is a video interview series hosted by Mayer Brown partners Michael Levy and Andrew Olmem, who unpack the nuanced complexities underlying...
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