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April 17, 2020

The FCA is maintaining a dedicated webpage detailing its expectations for solo-regulated firms during the COVID-19 pandemic, and guidance on the application of the Senior Managers and Certification Regime (“SM&CR”).

April 16, 2020

On April 9, 2020, the SEC announced temporary, conditional relief until December 31, 2020, allowing business development companies flexibility to issue and sell senior securities, and invest alongside certain affiliates that would otherwise be prohibited by the Investment Company Act.

April 08, 2020

The SEC issued a public statement addressing the June 30, 2020 implementation deadline for Regulation Best Interest and Form CRS in light of the challenges raised by the COVID-19 pandemic.

April 06, 2020

At our recent UK conference, 'Regulatory Horizon 2020 | The Challenges Ahead', we captured 10 concerns for European firms (aside from Covid-19). This checklist remains relevant for firms prepared to look through the crisis to the eventual recovery ahead.

April 06, 2020

FINRA recently issued a regulatory notice reminding firms that they should review their pandemic-related business continuity planning. This review should include assessing whether their business continuity plans (“BCPs”) are flexible enough to address the impact of potential pandemic-related situations to their businesses.

April 02, 2020

With reduced face-to-face interactions, employees are increasingly turning to electronic devices and platforms to communicate with their co-workers and clients. Increased electronic communication traffic can result in additional risks. Regulators, although providing relief in certain areas, still expect the compliance role to function effectively to mitigate these risks.