USA financial services regulation

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Practice notes
This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
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9th Nov
Practice notes
The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
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Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes
The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
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9th Nov
Practice notes
This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
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9th Nov
Practice notes
This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
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9th Nov
Practice notes
On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...
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9th Nov
Practice notes
Brexit: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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9th Nov
Practice notes
BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
9th Nov
Practice notes
BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...
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9th Nov
Practice notes
Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
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9th Nov
Practice notes
The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...
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9th Nov
Practice notes
Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
9th Nov
Practice notes
This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...
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9th Nov
Practice notes
This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
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9th Nov
Practice notes
This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...
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9th Nov
Practice notes
Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...
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9th Nov

Most recent USA financial services regulation content

Practice notes
As businesses eagerly expand into new markets looking for new growth opportunities, they must be careful, as with new growth comes new challenges....
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Produced in partnership with Stephen R. Martin of Arnold & Porter LLP 9th Apr
Practice notes
The US Foreign Corrupt Practices Act of 1977 (FCPA) is part of US federal law, which prohibits corrupt payments to or for foreign public officials. It...
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Produced in partnership with Ropes & Gray 9th Apr
Practice notes
What is the FCPA and what does it prohibit?The Foreign and Corrupt Practices Act (FCPA) was enacted in 1977 and amended after complaints from industry...
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9th Apr
Practice notes
IntroductionThe US provisions which are most relevant to international issues of debt securities outside the US are:•the exemptions granted under Rule...
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8th Apr
Practice notes
BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be...
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8th Apr
Practice notes
Background to the Foreign Corrupt Practices ActThe US Foreign Corrupt Practices Act (FCPA) is a broad and very well-enforced piece of legislation that...
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8th Apr
Practice notes
Securities and Exchange Commission (SEC)What is the SEC?The SEC was created under the Securities and Exchange Act of 1934. This Act also amended and...
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1st Mar
Practice notes
STOP PRESS: The Financial Choice Act, which was passed in US House of Representatives on June 2017 seeks in large part to undo many of the restrictive...
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1st Mar
Practice notes
Introduction to US financial services regulationThe financial services industry in the US is heavily regulated by a myriad of different regulators at...
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1st Mar
Practice notes
SEC Enforcement Cooperation ProgramIn January 2010, the US Securities and Exchange Commission (SEC) announced a series of measures aimed at...
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1st Mar
Practice notes
Certain foreign companies that issue securities, or desire a secondary public trading market for their securities, in the United States face different...
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Produced in partnership with Jonathan Guest of McCarter & English LLP 1st Mar
Practice notes
Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) brings many hedge funds and private equity funds under federal...
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Produced in partnership with Dwight Smith of Nelson Mullins Riley & Scarborough LLP 1st Mar
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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Produced in partnership with Dwight Smith of Covington & Burling LLP 1st Mar
Practice notes
A hedge fund seeking to attract US investors is subject to various federal securities statutes and their related regulations, including the Securities...
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1st Mar
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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Produced in partnership with Jennifer Archie, Lore Leitner and Alexander Stout of Latham and Watkins LLP 1st Mar
Practice notes
The Investment Advisers Act of 1940 (Advisers Act) imposes a broad fiduciary duty on investment advisers registered with the Securities and Exchange...
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1st Mar
Practice notes
Background to the Dodd-Frank ActFollowing the financial crisis of the US capital markets in 2008, the Dodd-Frank Wall Street Reform and Consumer...
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1st Mar
Practice notes
Background to the Volcker Rule and implementationThe rules which came about from the so-called Volcker Rule provisions of the Dodd-Frank Wall Street...
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1st Mar
Practice notes
Background and purposes of the Securities Exchange ActThe Securities Exchange Act of 1934 (the Exchange Act or the 34 Act) was enacted on June 6,...
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Produced in partnership with Tom O’Neill of Herbert Smith Freehills 1st Mar
Practice notes
State securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an independent government agency charged with...
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1st Mar

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