» 'Gamesmanship' one reason court won’t revive interest-rate-swaps antitrust claims
25/05/18 13:28 from Jim Hamilton's World of Securities Regulation
By Anne Sherry, J.D. In a multi-district litigation over antitrust violations in the market for interest-rate swaps, the Southern District of New York denied plaintiffs’ efforts to revive claims based on pre-2013 conduct. For one thing, ...

» Compliance Bricks and Mortar for May 25
25/05/18 13:00 from Compliance Building
These are some of the compliance-related stories that recently caught my attention. Does Profanity at Work Create a Hostile Work Environment? (Maybe.) by Daniel Schwartz in the Connecticut Employment Law Blog The court’s decision focuses...

» Chairman Clayton reflects on recent SEC developments at FINRA conference
24/05/18 14:34 from Jim Hamilton's World of Securities Regulation
By Amanda Maine, J.D. In a “fireside chat” at FINRA’s annual conference, FINRA president and CEO Robert Cook asked SEC Chairman Jay Clayton what the biggest surprises have been almost a year into his tenure as chairman. Clayton remarked ...

» CFTC staff advises exchanges, clearinghouses dealing in virtual currency products
23/05/18 13:50 from Jim Hamilton's World of Securities Regulation
By Amy Leisinger, J.D. The CFTC staff has issued an advisory to provide guidance for registered exchanges and clearinghouses dealing in virtual currency derivative products. The advisory clarifies the staff’s expectations during review o...

» 2018 State of Compliance (According to PwC)
23/05/18 13:27 from Compliance Building
PwC released the results of its latest State of Compliance survey. In this seventh iteration, PwC polled 825 risk and compliance executives worldwide about their organizations’ compliance polices and procedures, training, monitorin...

» Coordination, innovation key in blockchain regulation, say NASAA FinTech panelists
22/05/18 15:11 from Jim Hamilton's World of Securities Regulation
By Anne Sherry, J.D. Panelists at the NASAA Fintech Forum in Washington, D.C., examined the challenges and opportunities ahead as regulators grasp with blockchain-related innovations. At a morning panel about virtual currency regulation,...

» Form ADV and Form PF
21/05/18 13:05 from Compliance Building
With the statutory changes from Dodd-Frank, the Securities and Exchange Commission started gathering basic information about private fund managers and their funds on Form ADV. The SEC increased that information flow by requiring Form PF....

» CII again criticizes IPOs with multi-class share structures
21/05/18 12:00 from Jim Hamilton's World of Securities Regulation
By John M. Jascob, J.D., LL.M. The Council of Institutional Investors (CII) has again written to companies that are about to engage in initial public offerings to express concerns about their multi-class share structures. In separate but...

» Compliance Bricks and Mortar for May 18
18/05/18 13:21 from Compliance Building
These are some of the compliance-related stories that recently caught my attention. The Impact of Compliance –Another Reversal For a Jefferies Trader by T. Gorman in SECActions The key role of compliance threads through the continuing sa...

» CBS not entitled to halt controlling shareholder’s efforts to force Viacom merger
18/05/18 13:05 from Jim Hamilton's World of Securities Regulation
By Amy Leisinger, J.D. The Delaware Court of Chancery has denied a request to temporarily restrain a controlling shareholder’s efforts to push through a merger despite opposition by the board’s special committee and efforts to issue a sh...

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