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A practical guide for the buy-side to the U.S. margin rules for uncleared swaps

  • Holland & Knight LLP
  • -
  • USA
  • -
  • April 14 2015

It is expected that CFTC and the Prudential Regulators will issue final rules with respect to initial margin and variation margin for OTC derivatives

SEC seeks comments on cost benefit of rule permitting investment companies to post margin directly with FCMs, not third-party custodians

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 12 2015

The Securities and Exchange Commission is seeking comment on cost-benefit aspects of its rule that authorizes investment companies to maintain assets

The SEC releases regulations on reporting and dissemination of security-based swaps data

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • April 9 2015

On February 11, 2015, the Securities and Exchange Commission (SEC) published final regulations that will require Swap Data Repositories (SDRs) to

Financial services update Vol. 10, Issue 13

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 6 2015

On March 25th, the Consumer Financial Protection Bureau ("CFPB") proposed new rules that would govern the relationship between payday lenders and

The Financial Report April 2, 2015 - news from Asia and the Pacific

  • DLA Piper LLP
  • -
  • Australia, Hong Kong, Singapore, USA
  • -
  • April 2 2015

The Australian Securities & Investments Commission (ASIC) launched the first stage of the new Financial Advisers Register. Now available to search on

The Financial Report April 2, 2015 - News from the Americas

  • DLA Piper LLP
  • -
  • USA
  • -
  • April 2 2015

MarketWatch speculated on the possible reaction of Daniel Gallagher, Commissioner of the US Securities and Exchange Commission (SEC), to remarks made

Courts continue to dismiss shareholder suits based on FCPA violations

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • April 1 2015

On March 16, 2015, Judge Paul G. Gardephe of the Southern District of New York dismissed a shareholder derivative suit filed by Sylvia Pritika

Other developments

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • March 31 2015

Since the last issue of our IM Update, we have also published the following separate Alerts of interest to the investment management industry: SEC

CME Group and ICE Futures U.S. each fine a trader for automated trading system malfunction

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 29 2015

Citadel Securities LLC agreed to pay a fine of US $70,000 to the Chicago Mercantile Exchange because of its entry of an unspecified number of

Reminder: certain U.S. reporting and compliance obligations for investment advisers and funds

  • Dechert LLP
  • -
  • USA
  • -
  • March 25 2015

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose