United States: SEC Staff Highlight 2021 Focus Of Reg BI Examinations - Cadwalader, Wickersham & Taft LLP

Mondaq

30 Dec 2020 0 shares 1 views

United States: SEC Staff Highlight 2021 Focus Of Reg BI Examinations - Cadwalader, Wickersham & Taft LLP

Mondaq

Published 30 Dec 2020

Staff of the SEC Division of Examinations intend to expand the scope of future Regulation Best Interest examinations and conduct enhanced transaction testing.

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United States: SEC Staff Summarize FIMSAC 2020 Regulatory Recommendations - Cadwalader, Wickersham & Taft LLP

SEC staff summarized the activities of the Fixed Income Market Structure Advisory Committee over the past year.

Mondaq 30 Dec 2020

United States: Effective Date For SEC Amendments To "Auditor Independence" Framework Set For June 9 - Cadwalader, Wickersham & Taft LLP

An SEC final rule updating its "auditor independence" requirements and codifying certain staff consultations was published in the..

Mondaq 16 Dec 2020

United States: SEC Staff Highlight 2021 Focus Of Reg BI Examinations - Cadwalader, Wickersham & Taft LLP

United States: SEC Staff Highlight 2021 Focus Of Reg BI Examinations - Cadwalader, Wickersham & Taft LLP

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