Searching Content indexed under Financial Services by Proskauer Rose LLP ordered by Published Date Descending.
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Brexit Update – Luxembourg's Transitional Regime For UK Firms In ‘Hard Brexit' Scenario
In early August 2019, the Luxembourg regulator, the Commission de Surveillance du Secteur Financier (the "CSSF"), confirmed in a press release that it had opened an online portal to allow UK firms currently using a financial...
European Union
21 Aug 2019
Broker-Dealer Beat - August 2019
Financial services firms, like other businesses, must address employees' requests for more flexible work arrangements, including working from home.
United States
8 Aug 2019
Regulation Round Up - July 2019
The Financial Conduct Authority ("FCA") published a policy statement (PS19/19) setting out the final 2019/20 regulatory fees and levies.
United States
8 Aug 2019
Utah Passes The Third State-Run "Sandbox" For Innovative Financial Products And Services
Utah's governor recently signed into law H.B. 378, which created a sandbox program for companies providing "innovative financial products or services" in the state.
United States
6 Aug 2019
New York State Department Of Financial Services Establishes New Research And Innovation Division
On July 23, the New York State Department of Financial Services (the "DFS") issued a press release announcing the establishment of a new Research and Innovation Division
United States
6 Aug 2019
Proskauer Releases 1h 2019 Private Credit Market Highlights
July 25, 2019 (New York) – International law firm Proskauer released its mid-year private credit highlights as an accompaniment to its annual Private Credit Insights report.
United States
31 Jul 2019
Millennium: Are Syndicated Loans Securities?
In litigation related to the Millennium bankruptcy, the trustee for the bankruptcy's litigation trust sued the agent banks that underwrote a $1.75 billion dollar loan to Millennium
United States
24 Jul 2019
Proposed Regulations Provide Clarity For Qualified Foreign Pension Fund Exception
On June 7, 2019, the U.S. Treasury Department ("Treasury") and the Internal Revenue Service ("IRS") released proposed Treasury regulations under Sections 897, 1445 and 1446.
United States
12 Jul 2019
SEC Adopts Amendments To Auditor Independence Rules Addressing Lending Relationships
On June 18, 2019, the Securities and Exchange Commission (the "SEC") adopted amendments to Rule 2-01 of Regulation S-X
United States
12 Jul 2019
SEC Fines Fund Manager $5 Million Over Undervaluation Of Assets
A recent action where the SEC focused on the presumably conservative undervaluation of assets suggests that it is more than willing to use valuation as a hook to deter "smoothing" of returns
United States
9 Jul 2019
SEC Proposes Rule Changes With Potential Benefits For Reits, Funds, And Business Development Companies
The Securities and Exchange Commission ("SEC" or "Commission") recently proposed a number of changes to Regulation S-X
United States
4 Jul 2019
FCA To Introduce Reforms To UK Overdraft Market
On 7 June 2019, the Financial Conduct Authority ("FCA") confirmed that it is introducing reforms in relation to the overdraft market, set out in its policy statement PS19/6.
2 Jul 2019
Rule 105 Of Regulation M And Tender Offer Rules
Rule 105 of Regulation M may create more anxiety among compliance professionals in the hedge fund industry than any other SEC rule.
United States
25 Jun 2019
Regulation Round Up - May 2019
The Financial Conduct Authority ("FCA") published a call for input on its evaluation of the Retail Distribution Review and Financial Advice Markets Review.
17 Jun 2019
House Financial Services Committee Passes Bill To Expand Dodd-Frank Whistleblower Protection To Internal Whistleblowers
On May 8, 2019, the House Committee on Financial Services passed H.R. 2515, the Whistleblower Protection Reform Act of 2019.
United States
13 Jun 2019
UK Financial Conduct Authority Identifies Significant Shortcomings In Firms Operating Appointed Representative Platforms
On 20 May 2019, the UK Financial Conduct Authority ("FCA") published its findings of its multi-firm review into the supervision by principal firms ...
11 Jun 2019
CFTC Adopts Additional Exemptions From Annual Privacy Notice Delivery Requirement
On April 19, 2019, the U.S. Commodity Futures Trading Commission (CFTC) approved a final rule revising the annual privacy notice delivery requirements applicable to CFTC registered commodity trading
United States
15 May 2019
Regulation Round Up - April 2019
The Financial Conduct Authority ("FCA") published a statement announcing that it is commissioning an investigation by an independent person into the issues raised by the failure of London Capital & Finance.
United States
10 May 2019
Proposed FDII Regulations Under Section 250
On March 4, 2019, the Internal Revenue Service (the "IRS") and the Department of the Treasury (the "Treasury") released proposed regulations (the "Proposed Regulations")
United States
7 May 2019
A Radical Change To Ratification: Key Takeaways From Henderson v. United Student Aid Funds, Inc.
On Friday, March 22, a split panel of the Ninth Circuit Court of Appeals found that a company with no direct contractual relationship with independent contractors could be found vicariously liable
United States
7 May 2019
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