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Newsletter

Corporate and Financial Weekly Digest - Volume XII, Issue 5

February 3, 2017

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To read the Digest online, click here.

This week's issue addresses the following topics:

  • SEC Releases Rule 504 Small Entity Compliance Guide for Issuers
  • Acting SEC Chair Directs Staff to Reconsider Rule on Conflict Minerals
  • SEC Simplifies Process for Electronically Filing Broker-Dealer Annual Reports
  • FINRA and ISG Update Electronic Blue Sheet Data Elements
  • Treasury Form SHC and Private Fund Advisers
  • CFTC Releases Time Limited No-Action Relief for Swap Dealers Complying With EU Requirements
  • FCA Extends AIFMD Annex IV Reporting to Master Funds
  • UK House of Commons Votes on the Brexit Bill and Government Issues White Paper
  • ESMA Updates Q&As on MiFID II Transparency and Market Structure Topics
  • ESMA Issues Consultation on Future Guidelines for Portability Between Trade Repositories
  • ESMA Issues Open Letter on EMIR Review and Sanctioning Powers to the EC

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