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Results: 1-10 of 15

European Parliament approves financial supervision reform package

  • Alston & Bird LLP
  • -
  • European Union
  • -
  • September 23 2010

Yesterday, the European Commission voted to approve the financial supervision reform package, which will shift the manner in which banks, stock markets and insurance companies are supervised and policed in Europe

SEC proposes new regulatory framework governing mutual fund distribution fees to replace Rule 12b-1

  • Alston & Bird LLP
  • -
  • USA
  • -
  • August 30 2010

On July 21, 2010, the Securities and Exchange Commission (SEC) voted unanimously to propose new rule and rule and form amendments under the Investment Company Act of 1940 (the "1940 Act"), the Securities Act of 1933 (the "Securities Act") and the Securities Exchange Act of 1934 (the "Exchange Act"), each as amended, regarding the regulation of distribution fees paid by registered open-end management investment companies, or mutual funds (the "Proposal"

FSA publishes discussion paper on fundamental changes to trading activity regulation

  • Alston & Bird LLP
  • -
  • United Kingdom
  • -
  • August 25 2010

Today, the U.K. Financial Services Authority (FSA) published a discussion paper entitled “The prudential regime for trading activities - a fundamental review” that considers fundamental changes to the regulation of trading activities

SEC charges Citigroup and two executives in connection with misleading information regarding exposure to subprime assets

  • Alston & Bird LLP
  • -
  • USA
  • -
  • July 30 2010

Yesterday, the Securities and Exchange Commission ("SEC") charged Citigroup with misleading investors concerning the company's exposure to subprime mortgage-related assets

SEC proposes new rules regarding mutual fund distribution fees and adopts amendments to Form ADV for investment advisers

  • Alston & Bird LLP
  • -
  • USA
  • -
  • July 21 2010

Today, the Securities and Exchange Commission ("SEC") voted unanimously to propose a new rule and rule and form amendments under the Investment Company Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934, each as amended, regarding the regulation of distribution fees paid by registered open-end management investment companies, or mutual funds

Membership of Congressional Oversight Panel changes

  • Alston & Bird LLP
  • -
  • USA
  • -
  • May 23 2010

On Friday, Congressional Oversight Panel Chair Elizabeth Warren announced the resignation of former Securities and Exchange Commissioner Paul Atkins from the Congressional Oversight Panel

SEC votes to adopt statement reaffirming SEC commitment to move US towards IFRS

  • Alston & Bird LLP
  • -
  • USA
  • -
  • February 24 2010

At an open meeting held today, the five Commissioners of the Securities and Exchange Commission (SEC) voted unanimously to issue a statement reaffirming the SEC’s commitment to determine whether to move U.S. companies towards the use of global accounting standards, or International Financial Reporting Standards (IFRS) for financial reporting, instead of U.S. Generally Accepted Accounting Principles (GAAP

House Agriculture Committee holds hearing on discussion draft of Financial Stability Improvement Act

  • Alston & Bird LLP
  • -
  • USA
  • -
  • November 18 2009

Yesterday, the House Agriculture Committee held a hearing to review the discussion draft of the Financial Stability Improvement Act of 2009 (the FSIA) released by the Treasury and the House Financial Services Committee in late October, which is still currently under mark-up by the House Financial Services Committee

Treasury and other financial regulators issue financial sector self-assessment reviews to IMF

  • Alston & Bird LLP
  • -
  • USA
  • -
  • August 31 2009

Today, the U.S. Treasury and various other U.S. financial system supervisors and regulators, including the Federal Reserve, Office of the Comptroller of the Currency, Office of Thrift Supervision, Federal Deposit Insurance Corporation, Securities and Exchange Commission, Commodity Futures Trading Commission, and National Association of Insurance Commissioners, submitted financial sector self-assessment reviews for banking, securities, insurance, and payment systems to the International Monetary Fund (IMF

SEC permits Eurex Clearing AG and ICE Clear Europe Limited to operate as central counterparties for credit default swaps

  • Alston & Bird LLP
  • -
  • USA
  • -
  • July 23 2009

Today, the Securities and Exchange Commission (SEC) announced its approval of conditional temporary exemptions to allow Eurex Clearing AG (Eurex) and ICE Clear Europe Limited (ICE) to operate as central counterparties (CCPs) to clear credit default swaps (CDS