New U.K. FCA Rules on Shareholder Engagement Come into Force
The FCA’s implementation of the revised Shareholder Rights Directive (SRD II) came into force today, 10 June 2019. This was consulted on by the FCA in CP19/07 back in...... More »
SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals
On June 5, 2019, the Securities and Exchange Commission (SEC) approved a set of rules and interpretations targeting the standards of conduct to which broker-dealers and investment advisers will...... More »
OCIE Publishes Risk Alert on Safeguarding of Customer Information Stored on Network Storage Solutions
On May 23, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert (Risk Alert) regarding the safeguarding of customer information stored...... More »
Greyline Insights – Q1 2019
In this Issue In this inaugural edition of Greyline Insights, we explore a number of recent regulatory developments that occurred during Q4 2018 and Q1 2019. Despite the government’s month-long...... More »