Issues

The US department of labor’s final “fiduciary” rule incorporates concessions to financial service industry but still poses key challenges

Kenneth J. Laverierre; Matthew H. Behrens
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New compliance guidance by SEC staff signals increased scrutiny of non-GAAP financial measures

Richard J. Parrino
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Fincen requires financial institutions to obtain beneficial ownership information for legal entity customers

Ignacio Sandoval; Charles Horn; Melissa Hall
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Brexit: what are the options for the financial services industry?

David Sahr; Mark Compton; Alexandria Carr; Guy Wilkes; Alexander Behrens
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SEC publishes final rules amending the rules of practice for administrative proceedings

Joan McKown; Henry Klehm III; Harold Gordon; David Woodcock; Daniel Bradley
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Who is the “reasonable investor”?

Jonathan R. Tuttle; Matthew E. Kaplan; Benjamin R. Pedersen
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SEC proposes rules on adviser business continuity and transition plans

Kay Gordon
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SEC issues guidance on business continuity planning for registered investment companies

Diana McCarthy; Kay Gordon
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SEC targets broker-dealer implications of transaction-based deal fees

Jason Daniel
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