News

Former US attorney joins King & Spalding

Zachary Fardon to launch Chicago office, head litigation practice

Jason Bisnoff 3:12 PM ET

News roundup: Potential new SEC audit rule; Shareholder lawsuits hit record pace

Today’s compliance news from around the web

Jason Bisnoff 22 August, 2017

SEC grants B-D custody relief

The Division of Trading Markets addressed the prompt transmission of customer funds

Peter Rawlings 22 August, 2017

Growth of communication tools challenges documentation efforts

A Deloitte survey asked legal professionals about responding to doc requests

Peter Rawlings 21 August, 2017

Plaintiffs abandon First Eagle 36(b) complaint

Dismissal marks second case plaintiffs dropped this year

Jason Bisnoff 21 August, 2017

News roundup: Betsy Duke steps in at Wells Fargo; Outgoing SCCE executive speaks

Today’s compliance news from around the web

Jason Bisnoff 18 August, 2017

Minnesota CTA settles trading supervision allegations

The NFA fined Northstar for failing to monitor FCM access

Peter Rawlings 18 August, 2017

CSA guides on protecting minority security holders

The regulator discussed its Multilateral Instrument 61-101

Jason Bisnoff 18 August, 2017

Senate frees CFTC to help swap traders

Giancarlo has long been a critic of the regulatory structure for swaps

Stan Wilson 17 August, 2017

Schroeder named FINRA enforcement head

Promotion comes in concert with consolidation of enforcement functions

Jason Bisnoff 17 August, 2017

News roundup: Seven charged in insider trading case; Prudential eyes SIFI escape

Today’s compliance news from around the web

Peter Rawlings 17 August, 2017




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