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Compliance
Brazil
Koury Lopes Advogados
Confira as principais notícias do mercado analisadas pelos especialistas do KLA. Nesta edição, você encontra assuntos relacionados a Bancário & Financeiro
China
DeHeng Law Offices
新型冠状病毒肺炎疫情在全国肆虐,打乱了全国人们的生产和生活节奏...
DeHeng Law Offices
2020年春节假期期间,...
Ecuador
CorralRosales
El Servicio Ecuatoriano de Normalización, INEN, forma parte del sistema Ecuatoriano de la Calidad y cumple un rol importante en materia de reglamentación, normalización y metrología.
CorralRosales
The Ecuadorian Standardization Service (INEN) is part of the Ecuadorian Quality System and plays an important role in regulation, standardization and metrology.
South Africa
KISCH IP
Section 33(1) of the Companies Act 71 of 2008 (as amended) ("Companies Act"), states that every company must file an Annual Return. The Companies and Intellectual Property Commission's...
UK
Gowling WLG
It seems that climate change awareness and interest in environmental, social and governance (ESG) issues among investors, politicians, millennials and society at large has reached a tipping point.
United States
Jones Day
The updated FAQs clarify that professional legal representatives are not "retail customers/investors" for purposes of Regulation Best Interest and Form CRS, and they allow for non-English relationship summaries ...
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to test its supervisory controls, policies and procedures, and for failing to document the test results in required certifications and reports.
Day Pitney LLP
On February 7, the SEC provided a legal bulletin setting forth the views of the Office of Municipal Securities regarding the application of the antifraud provisions of Section 10(b) of the Securities Exchange Act of 1934 ...
Arnold & Porter
On January 30, 2020, the SEC issued Guidance on the use of key performance indicators and metrics in MD&A.
WilmerHale
On September 19, 2019, the SEC adopted new rules and amendments establishing recordkeeping and reporting requirements for security-based swap dealers, major security-based swap participants and broker-dealers.
WilmerHale
he release was approved by a 3-2 vote, with Commissioners Jackson and Lee dissenting.
Ropes & Gray LLP
January appears to have been MD&A month at the SEC. On January 30, the SEC proposed amendments to modernize, simplify, and enhance its Management's Discussion and Analysis...
Hogan Lovells
Hogan Lovells developed a checklist of key changes and considerations that public companies should be aware of when preparing their Forms 10-K and proxy statements for the upcoming filing season
Mayer Brown
On January 30, 2020, the US Securities and Exchange Commission continued its recent efforts to modernize and simplify its disclosure requirements by proposing to revise Item 303 of Regulation S-K (Management's Discussion and ...
DLA Piper
On January 7, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) announced its 2020 Examination Priorities
Vistra
In our recent research study ‘Private Equity: Where Challenges Meet Opportunities', regulation and transparency were singled out by a large number of respondents as key factors having an impact...
Worldwide
Vistra
Onno Bouwmeister, Global Sector Lead - Private Equity at Vistra, discusses our latest private equity white paper and highlights some of its findings.
Sheppard Mullin Richter & Hampton
In Episode 25, we were brought up to speed on privacy laws by Liisa Thomas.
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