To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Staff Publishes New Guidance on Shareholder Proposals
- SEC Approves a Longer Period to Review Fees for the Consolidated Audit Trail
- FINRA Releases Notice to Members Addressing "Pay-to-Play" Rule for Capital Acquisition Brokers
- CFTC's Division of Clearing and Risk Provides No-Action Relief to Certain Foreign Financial Institutions From Swap Clearing Requirements
- FCA Publishes Issue 54 of Market Watch Newsletter
- FCA Publishes Speech on Robo Advice
- FCA Publishes Alert for Firms Who Have Appointed Representatives
- FCA Opens Consultation on Expectations of Firms in Unregulated Markets and Industry Codes of Conduct
