Anna Maleva-Otto

Aug 16, 2024 | law360.co.uk | Anna Maleva-Otto

ADVERTISEMENT Don't want ads? Subscribe or login now. By Anna Maleva-Otto (August 16, 2024, 10:26 AM EDT) -- The Financial Conduct Authority published final rules on payment optionality for investment research in its policy statement 24/9 in July.[1]...

Aug 16, 2024 | law360.com | Anna Maleva-Otto

By Anna Maleva-Otto (August 16, 2024, 10:26 AM EDT) -- The Financial Conduct Authority published final rules on payment optionality for investment research in its policy statement 24/9 in July.[1]... Law360 is on it, so you are, too. A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence.

Jul 31, 2024 | mondaq.com | Anna Maleva-Otto |William J. Barbera

The UK Financial Conduct Authority ("FCA") has released the final rules on the Payment Optionality for Investment Research in its PS 24/9.1 The FCA rules refer to this new research payment structure as "joint payments for third-party research and execution services"; in fact, it is based on a commission sharing arrangement ("CSA Option") combined with detailed procedural and operational safeguards, including budgeting, valuation and client disclosure obligations.

Apr 12, 2024 | mondaq.com | Melissa Goldstein |Betty Santangelo Esq |Anna Maleva-Otto |Gregoire P. Devaney

On March 6, 2024, the US Department of the Treasury's Office of Foreign Assets Control ("OFAC"), the US Department of Justice ("DOJ") and the US Department of Commerce (collectively, the "Agencies") published their latest in a series of Tri-Seal Compliance Notes in which they emphasized that foreign-based persons have an obligation to comply with US sanctions and export controls.1 The Compliance Note does not reflect any policy change, but serves as a reminder that the Agencies have enforced...

Jun 28, 2023 | lexology.com | Anna Maleva-Otto |Heather N. Wyckoff

Click here to watch the videoSchulte partners Anna Maleva-Otto and Heather Wyckoff discuss the differences in how ESG is viewed and handled in Europe and the US, including how ESG has become highly politicized in the US while European institutions have invested more in ESG-focused strategies fueled by regulatory change. They also explore concern over perceived “greenwashing,” the emergence of ESG consultants, a standardized definition of sustainable investment, and more.