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On November 28, 2022, the Securities and Exchange Commission (the SEC) published final clawback rules (the Final Rules) in response to the long-standing requirement under Section 954 of...
The SEC adopted final rules imposing new conditions and disclosure requirements on Rule 10b5-1 trading plans, increasing transparency into inside trading plans and related disclosures...
In a welcome change in approach to financial market regulation, the United Kingdom’s Financial Conduct Authority (FCA) is requiring market participants to deliver good outcomes for...
United Kingdom Financial Conduct Authority is requiring market participants to deliver good outcomes for consumers. FCA announced final rules and guidance for new Consumer Duty applicable to financial services firms providing goods and services to retail consumers.
REGULATORY UPDATES - Recent SEC Leadership Changes - The Securities and Exchange Commission (the “SEC”) announced that Megan Barbero, currently SEC...