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Tag Archives: Actions
SEC Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements
The Securities and Exchange Commission today proposed a package of rule amendments and interpretive guidance to improve the framework for regulating cross-border security-based swaps transactions and market participants.The proposals are intended to improve the regulatory framework by pragmatically addressing implementation … Continue reading
Posted in Banking and Finance law
Tagged Actions, Application, Crossborder, Improve, Proposes, Requirements, SecurityBased, Swap
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SEC and PCAOB actions against accountants dropped significantly in 2018
By John Filar AtwoodThe PCAOB finalized only 13 enforcement actions against accountants in 2018 representing a 63 percent decline from the 35 actions in 2017, according to a new report from Cornerstone Research. The number of SEC enforcement actions against … Continue reading
Posted in Banking and Finance law
Tagged 2018, Accountants, Actions, against, Dropped, PCAOB, Significantly
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Recent ‘firsts’ shape UK collective actions
This year marks four years since significant statutory reforms regenerated the UK’s collective actions arena. Following a rocky start to this new regime, it appears that 2019 may finally bring some clarity to potential claimants navigating the first hurdle of … Continue reading
Posted in Antitrust - Competition law
Tagged ‘firsts’, Actions, Collective, Recent, Shape
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