We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 15

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

Lawmakers intensify demands for special inquiry commission to identify causes of financial crisis

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

Yesterday, the U.S. Senate voted to create an independent bi-partisan Financial Markets Commission (FMC) to investigate the causes of the financial crisis

IOSCO publishes recommendations on unregulated financial markets and products

  • Alston & Bird LLP
  • -
  • Global
  • -
  • May 6 2009

Yesterday, the International Organization of Securities Commissions’ (IOSCO) Technical Committee released a report prepared by its Task Force on Unregulated Financial Markets and Products

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"

SEC files first credit default swap insider trading enforcement action

  • Alston & Bird LLP
  • -
  • USA
  • -
  • May 6 2009

Yesterday, the Securities and Exchange Commission filed a civil action against two individuals working in the financial services industry, charging them with insider trading in credit default swaps of VNU N.V., an international holding company that owns Nielsen Media and other media businesses

AIG announces intention to sell part of its stake in Transatlantic Holdings

  • Alston & Bird LLP
  • -
  • USA
  • -
  • May 29 2009

Yesterday, American International Group, Inc. (AIG) announced its intentions to sell a portion of its 59 stake in Transatlantic Holdings Inc. (TRH), a reinsurer that is publicly traded on the New York Stock Exchange, in an underwritten secondary offering intended to raise capital for AIG

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

House Financial Services Committee holds hearing on effect of Lehman Brothers bankruptcy on state and local governments

  • Alston & Bird LLP
  • -
  • USA
  • -
  • May 5 2009

Today, the House Financial Services Committee, chaired by Representative Barney Frank (D-MA), held a hearing on the effects of the Lehman Brothers bankruptcy on state and local governments and other publicly-funded entities

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

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