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Results: 1-10 of 1,128

Financial services update October 13 2014 federal rules effective dates

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 13 2014

Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special

CFTC and Australian Securities and Investments Commission sign Memorandum of Understanding to enhance supervision of cross-border regulated entities

  • Shearman & Sterling LLP
  • -
  • Australia, USA
  • -
  • October 8 2014

On September 30, 2014, the CFTC announced the signing of a Memorandum of Understanding ("MOU") with the Australian Securities and Investments

The financial report October 2, 2014 - news from the Americas

  • DLA Piper LLP
  • -
  • Canada, USA
  • -
  • October 7 2014

The US North American Securities Administrators Association published its annual enforcement survey. It noted a significant increase in the amount of

The financial report October 2, 2014 - US Commodity Futures Trading Commission developments

  • DLA Piper LLP
  • -
  • Australia, USA
  • -
  • October 7 2014

The CFTC announced that CFTC Chairman Tim Massad and Chairman Greg Medcraft of the Australian Securities and Investments Commission have signed a

The financial report October 2, 2014 - US exchanges and self-regulatory organizations

  • DLA Piper LLP
  • -
  • USA
  • -
  • October 7 2014

The Financial Industry Regulatory Authority requested comment on a proposed rule to implement the Comprehensive Automated Risk Data System (CARDS

Financial services update October 6 2014 federal rules effective dates

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 6 2014

Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special

Hedge fund and its partner and lawyer fail on motion to dismiss for breach of fiduciary duty

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 5 2014

A case against a hedge fund, and one of its partners and in-house counsel, related to actions at a portfolio company and alleging breach of fiduciary

MFA offers recommendations to improve equity market structure, including increasing disclosure and transparency

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 5 2014

The Managed Futures Association issued a number of equity market structure policy recommendations last week. Among other things, MFA recommended that

Disclosure and collateral consequences of enforcement actions for regulated financial services firms

  • Skadden Arps Slate Meagher & Flom LLP
  • -
  • USA
  • -
  • October 2 2014

Financial services firms facing enforcement proceedings at the hands of the U.S. Securities and Exchange Commission (SEC) or any other financial

ESMA plans phased-in approach to EMIR OTC derivatives clearing

  • Ropes & Gray LLP
  • -
  • European Union, USA
  • -
  • October 1 2014

The European Regulation on Derivative Transactions, Central Counterparties and Trade Repositories (known as the European Market Infrastructure