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Results: 1-10 of 18

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

U.S. Volcker Rule passed by regulators

  • Stikeman Elliott LLP
  • -
  • Canada, USA
  • -
  • December 11 2013

Yesterday, the U.S. SEC, CFTC, FDIC, Federal Reserve, and Office of the Comptroller of the Currency approved the final rules implementing the

Recent updates related to derivatives

  • Gowling Lafleur Henderson LLP
  • -
  • Canada, USA
  • -
  • January 19 2011

The recent passage of the Dodd-Frank Wall Street Reform Act and Consumer Protection Act (the "Dodd-Frank Act") in the United States of America, as well as the proposed regulation of derivatives contained within the Canadian Securities Act (the "Securities Act") which is currently before the Supreme Court of Canada, promises to change the face of derivatives transactions as we currently know them

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 January 9, 2014 - news from the Americas

  • DLA Piper LLP
  • -
  • Canada, USA
  • -
  • January 9 2014

The Federal Reserve Board, FDIC, OCC, and SEC announced a review of whether it would be appropriate and consistent with the Dodd-Frank Act to exempt

Canadian regulators provide temporary exemptions for swap execution facilities

  • Blake Cassels & Graydon LLP
  • -
  • Canada, USA
  • -
  • October 30 2013

Securities regulators in Ontario, Quebec, Alberta and Manitoba have temporarily exempted swap execution facilities, or SEFs, from recognition as

SEC and CFTC release joint report on May 6 market volatility

  • Stikeman Elliott LLP
  • -
  • Canada, USA
  • -
  • October 5 2010

The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) released a joint report on Friday outlining their findings respecting the extreme market volatility of May 6, 2010

The Financial Report December 12 2013 - news from the Americas

  • DLA Piper LLP
  • -
  • Canada, USA
  • -
  • December 12 2013

US financial services regulators voted to adopt regulations implementing the Dodd-Frank Act’s “Volcker Rule,” which prohibit deposit-taking banks

The financial report January 23, 2014 - news from the Americas

  • DLA Piper LLP
  • -
  • Canada, USA
  • -
  • January 23 2014

Five US financial regulators (the Federal Reserve Board, FDIC, OCC, CFTC and SEC) published an interim final rule that will allow banks to retain

CFTC signs information sharing agreement with the Alberta Securities Commission

  • Winston & Strawn LLP
  • -
  • Canada, USA
  • -
  • June 21 2010

On June 16th, the CFTC announced that it and the Alberta Securities Commission have signed a new Memorandum of Understanding to enhance cooperation and the exchange of information relating to the supervision of cross-border clearing organizations