SEC Year End Obligations
Now that 2016 is firmly upon us, a number of United States regulatory filing deadlines come into view, particularly for firms with a 31 December fiscal year end (“FYE”). The […]
Market Abuse: Delegated Regulation
The European Commission has published a Delegated Regulation addressing further matters relating to Market Abuse Regulation 596/2014
SEC Office of Compliance Inspections and Examinations Examination Priorities for 2016
On 11 January 2016 the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2016 Examination Priorities.