Searching Content indexed under Corporate/Commercial Law by Hanwen Zhang ordered by Published Date Descending.
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Proposed Bad Actor Disqualification Act Of 2019 And SEC Statement On Contemporaneous Settlement Offers And Waiver Requests
Last month, Representative Maxine Waters, chair of the House Financial Services Committee, introduced a bill entitled Bad Actor Disqualification Act of 2019
United States
26 Jul 2019
Commissioner Peirce On Women On Boards
On June 28, 2019, Commissioner Peirce of the Securities and Exchange Commission ("SEC") delivered a speech entitled "Baby on Board" at the Society for Corporate Governance National Conference.
United States
12 Jul 2019
Voluntary Compliance With New Mining Disclosure Rules Prior To Completion Of EDGAR Reprogramming
On October 31, 2018, the Securities and Exchange Commission (the "SEC") adopted new property disclosure requirements for mining company registrants.
United States
5 Jun 2019
New QFC Stay Rules Affect Dealer Agreements And Distribution Agreements
Starting in 2019, U.S. globally systemically important banking organizations ("GSIBs") and their subsidiaries worldwide, as well as the U.S. subsidiaries, branches and agencies of foreign GSIBs
United States
25 Jan 2019
United Kingdom Financial Services Legislation In The Aftermath Of A No-Deal Brexit—What Potential Changes To UK Securities Laws And Regulations Should Issuers Of Securities Be Aware Of?
A significant portion of the law and regulation applicable in the United Kingdom (the "UK") pre-Brexit is derived from the European Union ("EU").
European Union
25 Jan 2019
SEC Investor Advocate Report On Activities For Fiscal Year 2018: Survey Results Regarding Investment Advice
The Office of the Investor Advocate released its "Report on Activities for the Fiscal Year 2018" (the "Report").2 During the 2018 fiscal year, the Investor Advocate focused significant attention
United States
25 Jan 2019
OCIE Risk Alert On Electronic Messaging
The Securities and Exchange Commission's Office of Compliance Inspections and Examinations released a Risk Alert on December 14, 2018 encouraging investment advisers to review their Investment Advisers Act of 1940 ...
United States
22 Jan 2019
REVERSEinquiries, Volume 1, Issue 8
REVERSEinquiries is Mayer Brown's structured and market-linked products-focused newsletter.
United States
13 Dec 2018
Product Intervention – A New Tool In EU Securities Regulation
"Product intervention" means that regulators have the power to ban or restrict certain types of financial instruments or activities, for example, by imposing restrictions on the type of investors to which certain financial instruments ...
United States
1 Nov 2018
ISDA Benchmark Supplement
Introduction to the ISDA Benchmarks Supplement.
European Union
31 Oct 2018
NASAA Releases Annual Enforcement Report 2018
The North American Securities Administrators Association (NASAA) released its 2018 Enforcement Report based on 2017 data collected from 51 NASAA US members.
United States
30 Oct 2018
FINRA Releases Report On The Rise Of RegTech
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
United States
29 Oct 2018
Congress Urges SEC To Revise Regulation Best Interest
The legislators are concerned that proposed Regulation BI relies heavily on disclosures to investors without any evidence suggesting that these disclosures would be effective.
United States
26 Oct 2018
SEC Director Blass's Congressional Testimony
The Relationship Summary would require broker-dealers and investment advisers to disclose in a succinct manner their relationships with retail investors.
United States
25 Oct 2018
REVERSEinquiries: Volume 1, Issue 7
REVERSEinquiries is Mayer Brown's new structured and market-linked products-focused newsletter. In this issue, we discuss:
United States
23 Oct 2018
Market Trends 2017/18: Cybersecurity Related Disclosures
On February 21, 2018, nearly seven years after the original issuance of guidance relating to disclosure of cybersecurity risks and cyber incidents, the Securities and Exchange Commission (SEC) ...
United States
17 Sep 2018
FinCEN's Beneficial Ownership Requirement
Effective May 11, 2018, final rules adopted by the Financial Crimes Enforcement Network, or FinCEN, under the Bank Secrecy Act require "covered financial institutions" (e.g., federal regulated banks, federal insured credit unions, mutual funds, broker dealers, futures commission merchants) ,,
United States
1 Aug 2018
SEC Hosts 2018 Meeting of the Elder Justice Coordinating
On June 5, 2016, the SEC hosted the spring 2018 meeting of the Elder Justice Coordinating Council (the "Council"). The meeting focused on elder abuse. Chair Clayton's opening remarks reinforced the SEC's continued commitment and concern about the financial exploitation of seniors.
United States
1 Aug 2018
A Sample Form CRS For Structured Products
In April 2018, the SEC released its proposed rules on Form CRS Relationship Summary ("Form CRS"), which would assist retail investors in choosing investment firms, professionals and account types...
United States
1 Aug 2018
Chair Clayton's Congressional Testimony
In his most recent testimony before Congress, SEC Chair Jay Clayton focused on Main Street investors. Addressing standards of conduct for broker-dealers and investment advisers, Chair Clayton noted that the rulemaking package issued in April this year would enhance retail investor protection and understanding while preserving retail investor access.
United States
25 Jul 2018
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