Legal Updates
Find the latest changes in the legal landscape that potentially affect your business. From changes in legislation and case law to regulatory reforms, at Ashurst we're able to support you on all legal developments.
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7 Results
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FINRA REGULATORY NOTICE 22-08
15 Mar 2022 FINRA Issues Regulatory Notice Relating to Complex Products and Options
Authors: Lloyd Harmetz, Partner, Margaret Sheehan, Partner and Tim Edmonds, Partner
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SEC REGULATORY UPDATE
07 Oct 2021 SEC Announces Review of Complex ETPs
Authors: Lloyd Harmetz, Partner, Margaret Sheehan, Partner 1 For example, see our article, SEC fines securities firm in connection with sales of…
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SEC Regulatory Update
23 Jul 2021 SEC fines securities firm in connection with sales of volatility-linked ETNs
In July 2021, the SEC settled an action brought under the Investment Advisers Act of 1940 against a dual-registered broker-dealer and investment adviser…
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global markets update
23 Mar 2020 ESG, Sustainable Investing and the SEC's Request for Comments on Fund Names
Author: Elizabeth (ZZ) Friedman, Associate with special thanks to Partners, Jennifer Schneck, Margaret Sheehan and Anna-Marie Slot for their contributions …
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financial REGULATION newsflash
26 Oct 2017 MiFID II Series #17 - Research unbundling: the final word(s) before MiFID day
The European Commission has today published guidance, in the form of Q&As, on rules under MiFID II relating to procurement of research by (effectively) EU…
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financial regulation briefing
02 Jun 2017 FX Global Code published
A newly established Global FX Committee (GFXC), now separate to the Bank of International Settlements (BIS), has published the finalised FX Global Code (the…
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GLOBAL REGULATORY RADAR
01 Jun 2016 Regulatory Radar: Q2 2016
Welcome to the second 2016 edition of the Ashurst Global Regulatory Radar. This edition of Ashurst's Global Regulatory Radar looks at some of the key…
