On Feb. 21, 2018, the U.S. Supreme Court held that the anti-retaliation provision of the Dodd-Frank Act (DFA) protects only employees who complain to the Securities and Exchange Commission (SEC)
Continue Reading SCOTUS Rules Dodd-Frank Does Not Protect Internal Whistleblowing
February 2018
FINRA Plans Major Changes to Expungement Rules
By John K. Wells on
FINRA recently issued Notice to Members 17-42, which proposes sweeping changes to the process by which a securities broker may seek to expunge reference to a customer complaint from…
Continue Reading FINRA Plans Major Changes to Expungement Rules
EU Proposes New Rules to Manage Leverage and Derivative Exposure for Funds – Are Asset Managers Ready?
By Nanette Aguirre on
Posted in Brokers, European Union
The European Systemic Risk Board (the Board) published a recommendation that the European Union should adopt rules to prevent funds from taking on excessive debt and from allocating inadequate reserves…
Continue Reading EU Proposes New Rules to Manage Leverage and Derivative Exposure for Funds – Are Asset Managers Ready?