... in diversifying with crypto-related investment opportunities. Katherine Kirkpatrick can be contacted at: kkirkpatrick@kslaw.com © King and Spalding LLP. 2021 King and Spalding LLP. Licensed re-use rights only Regulation Financial services Blockchain Cryptocurrency FinTech Data privacy...

...David Sahr; Mark Compton; Alexandria Carr; Guy Wilkes; Alexander Behrens Purpose To explain the impact for financial services firms of the UK’s vote to leave the European Union (EU) and to assess the possible options for conducting cross-border financial services between the UK and EU...

... & Bockius LLP 2016 Emerald Group Publishing Limited Licensed re-use rights only Financial Industry Regulatory Authority (FINRA) Financial services Securities and corporate governance New FINRA Rule 2241 consolidates and expands upon legacy NASD and NYSE rules to address equity research...

... of compliance function remains complex due to the overwhelming set of compliance requirements that exert pressure on various business segments. This report aims to investigate how banks and financial services firms are responding to the regulatory-driven changes to the current compliance landscape...

... with investors. The relaxation or elimination of long‐accepted methods for minimizing fraud and abuse in securities offerings, however, could result in a significant increase in investment scams and other wrongdoing. Originality/value The paper provides expert guidance from experienced financial services...

... of qualifying investments. AIFMD Venture capital Investment funds European Union Legislation Financial services Financial institutions Investment managers Recent months have seen a significant shift in the approach of European regulators and law makers to the regulation of venture capital funds...

... securities and financial services lawyers. SEC officials report that the agency currently receives as many as 100 tips per day from whistleblowers and their attorneys. The SEC will exercise discretion in deciding whether to notify a company of its receipt of a whistleblower complaint. In making its...

... mechanisms. Originality/value The paper provides expert guidance from experienced financial services lawyers. [2] To provide context as to the potential size of the fund, during fiscal year 2010 the CFTC's civil monetary penalties totaled approximately $136 million. See Scott O'Malia, Commissioner...

... concerning insurable interest for policies beyond the two‐year contestability period, but the Delaware court's ruling explicitly affirms the legality of selling life insurance policies to third‐party investors. Originality/value The paper provides expert guidance from experienced financial services...

... membership. Henry A. Davis can be contacted at: hdresearch@aol.com © Emerald Group Publishing Limited 2012 Financial Industry Regulatory Authority Securities and Exchange Commission Trade Reporting and Compliance Engine Broker‐dealer Financial services Regulation United States...

..., which highlights the procedural and substantive complexities associated with shareholder proposals. Originality/value The paper provides expert guidance from experienced financial services lawyers. Richard J. Parrino can be contacted at: richard.parrino@hoganlovells.com © Emerald Group...

..., Firms should consider re‐evaluating their processes for collecting standard documents when defending FINRA arbitration claims. Originality/value The paper presents practical guidance from experienced financial services lawyers. Discovery Arbitration Financial services Lawyers...

... industry will educate investment compliance and other financial services professionals about these critical new developments. © Emerald Group Publishing Limited 2011 Institutional customers can download data files and otherwise interface with a large and growing number of widely used third party...

...Dan Ornstein Purpose The purpose of this paper is to explain the final version of the Remuneration Code, published by the Financial Services Authority (FSA) in December 2010, which deals with remuneration in the financial services industry and incorporates requirements contained in the latest...

... additional procedures to gather customer “investment profile” information and whether to memorialize that information in written form. Originality/value This paper provides practical guidance from experienced financial services lawyers. On November 17, 2010, the Securities and Exchange Commission (SEC...

... Limited 2011 Regulation Disclosure Financial services The Regulation limits or omits many of the more controversial aspects of the Proposal while also restricting its scope. For example, the Regulation applies only to service provider relationships with certain employer‐sponsored pension...

...Simon Gleeson; Chris Bates; Charles Morris Purpose The aim of this paper is to discuss the implications of the UK Financial Services Authority (FSA) January 25, 2011 discussion paper, DP11/1 Product Intervention. Design/methodology/approach The paper discusses the FSA's previous regulatory...

... Financial services Arbitration 1. The customer may select either an all public panel or a majority public panel (the current method of panel selection) within 35 days of service of the statement of claim. If no affirmative selection is made, the default will be a majority public panel, although...

... experienced financial services lawyers. The policies and procedures that advisers employ to reduce the risk of FCPA actions should follow closely the guidance developed by the DOJ and the U.S. Sentencing Commission. Adhering to such guidance may persuade the DOJ or SEC not to bring action or to reduce...

... Emerald Group Publishing Limited 2011 Financial services Regulation Investment funds On November 29, 2010, FINRA announced in Regulatory Notice 10‐60 (the “Adopting Notice”) that new FINRA Rule 5131 (the “Rule”) regulating new issue allocations and distributions will take effect on May...