- Eversheds Sutherland’s Securities Enforcement Global Update
- April 3, 2018 | Authors: Bruce M. Bettigole; Olga Greenberg; Brian L. Rubin
- Law Firms: Eversheds Sutherland (US) LLP - Washington Office; Eversheds Sutherland (US) LLP - Atlanta Office; Eversheds Sutherland (US) LLP - Washington Office
Eversheds Sutherland has completed its Securities Enforcement Global Update for Winter 2018, highlighting newsworthy events, cases and sanctions from financial regulators in the United States and abroad.
- In the US, there were several developments at the Securities and Exchange Commission, including the confirmation of two Commissioners, the announcement of 2018’s exam priorities, and a new self-reporting initiative for investment advisers regarding mutual fund share class violations.
- Meanwhile, the United Kingdom’s Financial Conduct Authority and Hong Kong’s Securities and Futures Commission announced several large enforcement actions, spoke on enforcement trends, and announced new enforcement guidance and priorities.
- Firms should determine whether and how new international regulations and enforcement activity may impact their international businesses.