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 1,203

SEC adopts new short selling rules

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • October 17 2008

On Oct. 14, 2008, the Securities and Exchange Commission (“SEC” or “Commission”) issued a trio of rule-making releases

Lending, investing and trading after the market break: opportunities to seize and risks to manage

  • Richards Kibbe & Orbe LLP
  • -
  • USA
  • -
  • October 22 2008

Recent dramatic downturns in the credit, equity and derivatives markets, together with an acute general shortage of liquidity, will present attractive opportunities for lenders, investors and traders with cash to deploy in the month ahead

FinCEN withdraws proposed anti-money laundering rules for unregistered investment companies, commodity trading advisors and investment advisers

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • October 31 2008

On Oct. 30, 2008, the Financial Crimes Enforcement Network (“FinCEN”), a bureau of the United States Department of Treasury, withdrew the proposed anti-money laundering program (“AML Program”) rules for unregistered investment companies (such as hedge funds), commodity trading advisors and investment advisers

FinCEN withdraws dated anti-money laundering rule proposals

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 31 2008

On October 30, the Financial Crimes Enforcement Network (FinCEN) withdrew its proposed anti-money laundering rules for investment advisers, unregistered investment companies and commodity trading advisers

SEC Chairman Cox proposes designing new financial regulatory structure

  • Alston & Bird LLP
  • -
  • USA
  • -
  • November 13 2008

In his speech given to the Practicing Law Institute’s 40th Annual Securities Regulation Institute yesterday, SEC Chairman Christopher Cox broadly outlined the need for a new financial regulatory framework to keep pace with the dramatic changes in the financial markets and the continued globalization of finance

CFTC Acting Chairman unveils proposal for the restructuring of government oversight of financial markets

  • McDermott Will & Emery
  • -
  • USA
  • -
  • November 12 2008

The Acting Chairman of the Commodity Futures Trading Commission (CFTC) outlined a proposal for a major overhaul of the regulatory framework overlaying the financial system

CFTC requests comments on OCC clearing of gold and silver trust derivatives

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 14 2008

The Commodity Futures Trading Commission has requested comments on its initial decision, in response to a petition by the Options Clearing Corporation (OCC), to exempt, pursuant to section 4(c) of the Commodity Exchange Act (CEA), the trading and clearing of options and security futures products based on iShares COMEX Gold Trust Shares and iShares Silver Trust Shares (collectively, the Shares) from certain provisions of the CEA

FinCEN withdraws AML proposal

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 7 2008

The U.S. Treasury Department’s Financial Crimes Enforcement Network has withdrawn its proposed rules that would have required the adoption by investment advisers, commodity trading advisors and certain unregistered investment companies of anti-money laundering programs similar to those required of banks, broker-dealers, mutual funds and other industry participants

OFAC issues guidance regarding scope of OFAC compliance programs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 7 2008

The Treasury Department’s Office of Foreign Assets Control (“OFAC”) released a notice on November 6, 2008 (the “OFAC Notice”) to provide guidance to securities and futures firms regarding their obligations under OFAC regulations when “evaluating new clients and investments or transactions by such clients.”

NYSE Arca proposes options rule amendments regarding anti-money laundering compliance programs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 21 2008

On October 28, NYSE Arca, Inc. filed proposed rule changes with the Securities and Exchange Commission to amend NYSE Arca Options Rule 11.19, which addresses anti-money laundering compliance programs (AMLCPs