International

In sum, regulatory harmonization is an imperative today. Our times are turbulent. And in the midst of these rapid changes, the electorate, in several jurisdictions, ...

Nino Coppero del Valle, the alleged tipper who worked at one of the companies, agreed to pay full disgorgement of $53,607.70 plus interest of $5,382.44. ...

Our work as regulators is not a "zero sum game." A rising tide lifts all boats. Adopting high quality regulatory standards and cooperative relationships create ...

You wouldn’t be alone if you felt this month’s “information update” from the SEC’s Division of Investment Management on use of the so-called Unibanco letters ...

We ask the Staff of the Division of Trading and Markets (the "Staff ') of the Securities and Exchange Commission (the "SEC") to grant exemptive ...

Two new releases from the SEC’s Division of Investment Management add clarity to two issues that may affect you.   1. Foreign affiliates that fall ...

We would not recommend enforcement action to the Commission under Section 12(d)(1)(A) or (B) of the 1940 Act against a Foreign Feeder Fund that acquires ...

ISDA Japan requested relief for SDs that are subject to the uncleared swap margin requirements of both the CFTC and the Financial Services Agency of ...

The Hold Brothers had violated the federal securities laws by enabling and failing to adequately monitor deceptive trading practices by certain offshore traders who used ...

If you’re a large enough private fund adviser that markets into the EU, then you already quarterly file certain data reports with overseas regulators to ...