Counsel to Broker-Dealer in FINRA Investigation

On 18 July 2022, the European Union (EU) Council formally adopted the Digital Markets Act (DMA) which establishes for the first time in the EU an ex-ante system of regulation to address anticompetitive behaviour...

For the second time in as many months, the Securities and Exchange Commission (SEC) has signaled that it is back in the business of policing the SEC whistleblower protection rules in a broad, prophylactic...

On March 12, 2023, the U.S. Treasury Department (Treasury), Federal Reserve (Fed) and Federal Deposit Insurance Corporation (FDIC) released a “Joint Statement” confirming that depositors of Silicon Valley Bank (SVB) “will have access to all...

On Oct. 26, 2022, the U.S. Securities and Exchange Commission (SEC) adopted a rule (2022 Rule) imposing new disclosure obligations and executive compensation policies and practices on most companies that have securities listed for...

Last week, senior Securities and Exchange Commission (SEC) officials spoke at a securities industry conference and signaled that the SEC intends to expand its regulatory reach in the cryptocurrency space. For the past several...