David Barrett (US)

Photo of David Barrett (US)
Firm/Organization: Norton Rose Fulbright
Blogs: Financial services: Regulation tomorrow

Latest Articles

Norton Rose Fulbright New York office’s next 40-minute financial services briefing is set for Thursday, January 5, 2017 at 12:00 noon EST. Each month, Norton Rose Fulbright’s senior practitioners will provide interested in-house counsel and professionals with an insightful discussion on current regulatory trends within the financial services sector. The briefings will stick strictly to a 40-minute format, over a provided lunch, and begin at 12:00 PM sharp. The January briefing will focus on Fintech:…
Based on a successful series started by the Norton Rose Fulbright London office, the Norton Rose Fulbright New York office is launching a series of financial services 40-minute briefings November 2. Each month, Norton Rose Fulbright’s senior practitioners will provide interested in-house counsel and professionals with an insightful discussion on current regulatory trends within the financial services sector. The briefings will stick strictly to a 40-minute format, over a provided lunch, and begin at 12:00…
Based on a successful series started by the Norton Rose Fulbright London office, the Norton Rose Fulbright New York office is launching a series of financial services 40-minute briefings November 2. Each month, Norton Rose Fulbright’s senior practitioners will provide interested in-house counsel and professionals with an insightful discussion on current regulatory trends within the financial services sector. The briefings will stick strictly to a 40-minute format, over a provided lunch, and begin at 12:00…
On January 6, 2016, the US Securities and Exchange Commission (“SEC”) published a Guidance Update (the “Guidance”) concerning payments made by mutual funds to financial intermediaries that provide shareholder and recordkeeping services for investors in such funds. The Guidance is a product of a three-year sweep exam conducted by the SEC that studied these payments, which are typically classified as sub-transfer agent, administrative, sub-accounting and other shareholder servicing fees (collectively, “sub-accounting fees”). Background on the…