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SEC to require living wills and stress-testing for investment advisers

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 12 2014

In a speech on December 11, 2014, SEC Chair Mary Jo White announced three broad “proactive initiatives” to address the risks of “increasingly complex

International regulatory update - 1 5 December 2014

  • Clifford Chance LLP
  • -
  • European Union, Global, Hong Kong, USA
  • -
  • December 12 2014

The European Securities and Markets Authority (ESMA) has launched a consultation on asset segregation requirements under the Alternative Investment

The financial report December 11, 2014 - news from the Americas

  • DLA Piper LLP
  • -
  • Canada, USA
  • -
  • December 11 2014

In what may be viewed as a watershed event in insider trading jurisprudence, the Second Circuit unanimously struck down the convictions of Todd

The financial report December 11, 2014 - exchanges and self-regulatory organizations

  • DLA Piper LLP
  • -
  • Global, USA
  • -
  • December 11 2014

The Financial Industry Regulatory Authority issued two Retrospective Rule Review Reports assessing, respectively, the effectiveness and efficiency of

Investment management legal regulatory update - December 2014

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 10 2014

SEC Chair Mary Jo White recently offered a peek into new SEC rule proposals we can expect to see in the coming months. The sneak preview includes

CFTC grants relief to family offices from registration as commodity trading advisor

  • Proskauer Rose LLP
  • -
  • USA
  • -
  • December 9 2014

On November 5, 2014, the U.S. Commodity Futures Trading Commission (CFTC) issued a no-action letter granting relief from registration as a commodity

SEC Chair’s agenda provides glimpse of new rules to come

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • December 5 2014

The SEC offered a peek into what new rule proposals we can expect in the coming months. The sneak preview includes some eye openers, like proposed

Other developments

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • December 2 2014

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

New FOCUS reporting requirement commences January 2015

  • Proskauer Rose LLP
  • -
  • USA
  • -
  • December 1 2014

A new FOCUS reporting requirement designed to enhance FINRA's ongoing monitoring of members' financial condition will take effect for the new year

CFTC and SEC proposed interpretation concerning forward contracts with embedded volumetric optionality

  • Debevoise & Plimpton LLP
  • -
  • USA
  • -
  • November 25 2014

On November 13, 2014, the Commodity Futures Trading Commission and the Securities and Exchange Commission jointly issued a proposed interpretation