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.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 80

Speech by Sally Dewar - taking the FSA's corporate governance agenda forward
  • Locke Lord LLP
  • United Kingdom
  • April 6 2010

Sally Dewar, the Financial Services Authority's (FSA) managing director of Risk, gave a speech entitled "Taking the FSA's corporate governance agenda forward" at the City Corporate Governance and Remuneration Summit on 30 March 2010


Chinese consider revising plan for a super regulator
  • Locke Lord LLP
  • China
  • May 14 2010

China is considering reviving its plan to set up a super regulator in order to make the government's oversight of the financial sector more efficient and expedient and improve the lack of integration and co-ordination between existing regulators


Court of Appeal considers parallel proceedings and non-exclusive jurisdiction clauses
  • Locke Lord LLP
  • United Kingdom
  • July 30 2009

In Highland Crusader Offshore Partners v Deutsche Bank AG (2009 EWCA Civ 725) the Court of Appeal considered the operation of a non-exclusive jurisdiction clause, whereby the parties submitted to English jurisdiction (but were not permitted from proceeding in another country of competent jurisdiction), against the background of proceedings in Texas and London


What Dodd’s retirement may mean for financial regulatory overhaul
  • Locke Lord LLP
  • USA
  • January 8 2010

Wednesday’s announcement that Senate Banking, Housing and Urban Affairs Committee Chairman Christopher Dodd (D-CT) will retire and not seek reelection in 2010 will surely have an impact on the large-scale financial regulatory overhaul effort he is currently shepherding through the Committee


Senate tees up financial regulatory reform following healthcare victory
  • Locke Lord LLP
  • USA
  • March 25 2010

Top lawmakers met with President Obama Wednesday in order to regain momentum on financial regulatory reform legislation in Congress


Financial Services Authority and Financial Reporting Council publish discussion paper on auditors' role in prudential regulation
  • Locke Lord LLP
  • United Kingdom
  • July 9 2010

On 30 June 2010, the UK's Financial Services Authority (FSA) and Financial Reporting Council (FRC) published a joint discussion paper (DP) entitled "Enhancing the auditor's contribution to prudential regulation"


Joint discussion paper on consumer complaints published
  • Locke Lord LLP
  • United Kingdom
  • March 16 2010

The Financial Services Authority (FSA), the Financial Ombudsman Service (FOS) and the Office of Fair Trading (OFT) have jointly published a discussion paper entitled "Consumer complaints (emerging risks and mass claims) (DP101)"


Senate financial reform bill to be unveiled Monday; bipartisan negotiations fall apart
  • Locke Lord LLP
  • USA
  • March 11 2010

Senate Banking, Housing and Urban Affairs Committee Chairman Christopher Dodd (D-CT) announced Thursday morning that he will release his updated financial regulatory reform bill on Monday


SDFL judge finds for Wachovia in unique auction rate securities suit
  • Locke Lord LLP
  • USA
  • May 18 2010

A federal judge in the United States District Court for the Southern District of Florida recently issued findings of fact and conclusions of law following a bench trial in favor of Wachovia in a suit brought by investors who were unable to liquidate certain Auction Rate Securities ("ARS") originally purchased through Wachovia


Supreme Court upholds Gartenberg test for mutual funds’ compensation of investment advisers
  • Locke Lord LLP
  • USA
  • May 5 2010

The Supreme Court recently issued an important decision regarding the test for determining whether an investment adviser has violated its "fiduciary duty" to a mutual fund by charging excessive fees under 36(b) of the Investment Company Act of 1940