+ Prohibitions on insider trading
+ Information barriers
+ Code of ethics and personal trading
+ Trading rules in the U.S.
+ Advertising rules
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August 2021 Regulatory Update
Our U.S. Regulatory and Compliance Group issues periodic regulatory and compliance updates on the latest issues impacting our clients. Read our August update here:
Click here to Download a PDF of the full report.
SEC Announces 2021 Regulatory Agenda
ESG Update – Continued SEC Focus and European Regulation
NYDFS Issues Ransomware Guidance: What’s a Lawyer to Do?
SEC Announces Enforcement Actions Against 27 Financial Firms for Form CRS Failings
FinCEN Reports to Congress That it Will Establish a Limited No-Action Letter Process, When Resource Limitations and Competing Priorities Allow
SEC Increases “Qualified Client” Thresholds