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 1,202

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

Regulation SBSR: the compliance guide to reporting security-based swaps

  • Latham & Watkins LLP
  • -
  • USA
  • -
  • March 24 2015

SEC has published reporting obligations for SBS without a finalized compliance schedule. Reporting rules for cleared and platform-executed SBS and

Lawmakers to consider oversight of several agencies; SEC, CFTC to hold meetings

  • Squire Patton Boggs
  • -
  • USA
  • -
  • March 23 2015

This week, both the House Financial Services Committee and the Senate Banking Committee are slated to hold several hearings focused on oversight

Financial services update Vol. 10, Issue 11

  • Winston & Strawn LLP
  • -
  • European Union, USA
  • -
  • March 23 2015

This edition focuses on corporate governance and its Related Issues. In particular, academics from the School of Accountancy at Singapore Management

The Financial Report March 19, 2015 - US exchanges and self-regulatory organizations

  • DLA Piper LLP
  • -
  • USA
  • -
  • March 19 2015

Beginning March 9, 2015, swap dealers (SD) and major swap participants (MSP) are able to view in the National Futures Association (NFA) EasyFile

Hedging contango

  • Haynes and Boone LLP
  • -
  • USA
  • -
  • March 17 2015

As part of our series on legal issues arising out of the plummeting commodity prices, this article looks at one distinct factor in the commodity

Lawmakers to review regime for regional banks; CFTC to hold roundtables

  • Squire Patton Boggs
  • -
  • USA
  • -
  • March 16 2015

The Senate Banking Committee is scheduled to hold a hearing to further examine the regulatory regime for regional banks this week. As mentioned in

Financial services update Vol. 10, Issue 10

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 16 2015

The U.S. Commodity Future Trading Commission ("CFTC") is holding a public roundtable on Cybersecurity and System Safeguards Testing on Wednesday

Financial services update Vol. 10, Issue 9

  • Winston & Strawn LLP
  • -
  • European Union, USA
  • -
  • March 9 2015

I recently had the opportunity to invest in individual shortterm real estate loans. Having devoted my current liquidity to a real estate

Federal Reserve remains under scrutiny; CFTC reopens comment period on position limits, staff to hold roundtable

  • Squire Patton Boggs
  • -
  • USA
  • -
  • March 2 2015

This week, Congress will continue its focus on examining potential reforms to the Federal Reserve. Last week, Federal Reserve Chair Janet Yellen