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Insights
Insights
Title
Date
Associated Professionals
SEC Proposes to Modernize Regulation of the Use of Derivatives by Registered Investment Companies
12/9/2019
By
The Investment Management Practice
Plx Likely Stands On Its Own, But Has Room To Grow
11/26/2019
By
Barry A. Brooks
,
Jordan L. Goldman
,
Joseph P. DiCarlo
& Matthew R. Schob
The SEC Clears the Path for Investors as Potential Whistleblowers: Greater Scrutiny May Be on the Horizon During Regulatory Examinations
11/21/2019
Ira Kustin
,
John P. Nowak
,
Michael Spafford
,
Amanda Pober
&
Daren Stanaway
New York State Human Rights Law: Changes to Know
11/19/2019
Marc E. Bernstein
,
Kenneth W. Gage
,
Emily R. Pidot
,
Patrick W. Shea
,
Brian M. Hayes
& Adriana N. Simmons
CFTC to Commence New Examination Program Targeting Swap Dealers and CPOs
11/1/2019
By
Michael L. Spafford
,
Joyce Sophia Xu
&
Daren F. Stanaway
Proposed Amendments to U.S. Prudential Regulators’ Margin Rules for Non-Cleared Swaps
10/25/2019
By
Joyce Sophia Xu
,
Michael Spafford
,
Diona Park
,
Daren Stanaway
&
Matthew Smith
SEC Charges Bevy of Foreign Traders in Alleged Spoofing Ring
10/24/2019
By
Michael L. Spafford
,
John P. Nowak
,
Daren F. Stanaway
& Kathryn Harris
New EU Directive Enhancing the Protection of Whistleblowers
10/17/2019
By
Simon Airey
,
Josh Domb
&
Gary Giampetruzzi
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