The State of New York recently enacted the Stop Hacks and Improve Electronic Data Security Act – dubbed the SHIELD Act – to expand the State’s existing requirements for...... More »
Managers of domestic funds with securities that are owned by foreign residents may need to take note of an important filing deadline on the horizon. Treasury International Capital Benchmark...... More »
On July 23, 2019, the Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert on Supervision and Disclosure of Conflicts primarily related to hiring and employing supervised...... More »
On July 1, 2019, the Securities and Exchange Commission (SEC) announced charges against a Massachusetts-based investment adviser and its principal for their role in defrauding clients, and against the...... More »
Summary Effective from 1 July 2019, two related events have occurred that affect the trading of Swiss shares by European firms and on European venues. The E.U. has revoked...... More »