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Results: 1-10 of 78

Changes in securities & insurance regulation affecting enforcement strategies ALI-ABA conference on insurance & financial services litigation
  • Locke Lord LLP
  • USA
  • July 19 2010

Speakers at the ALI-ABA's annual conference on insurance and financial services regulation in Chicago offered extensive commentary on changes in enforcement strategies for insurance and securities fraud, in light of recent overhauls to the regulatory scheme


FSA prosecutes for change of control offence
  • Locke Lord LLP
  • United Kingdom
  • February 19 2010

Semperian PPP Investment Partners (Semperian) has pleaded guilty to an offence under section 191(3) of the Financial Services and Markets Act 2000


Court approves American Home Mortgage's settlement of a subprime securities class action
  • Locke Lord LLP
  • USA
  • September 18 2009

On July 30, 2009, the US District Court for the Eastern District of New York approved a $37.25 million settlement of a subprime-related securities class action styled, In re American Home Mortgage Securities Litigation


UK client money deadline approaches
  • Locke Lord LLP
  • United Kingdom
  • June 11 2010

We have previously reported on the UK Financial Services Authority's (FSA) Client Money and Asset Report (the Report), published in January 2010


Financial Services Authority (FSA) publishes consultation paper on competence and ethics
  • Locke Lord LLP
  • United Kingdom
  • June 11 2010

The FSA has recently published a consultation paper entitled "Competence and ethics" (CP1012


UK Chancellor sets out proposals for reform of financial services regulation
  • Locke Lord LLP
  • United Kingdom
  • June 17 2010

In the annual Mansion House Speech on 16 June 2010, the UK Chancellor announced his intention to abolish the tri-partite system of financial regulation established by the former Labour government


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


House committee completes action on financial regulatory reform legislation, stage set for floor vote next week
  • Locke Lord LLP
  • USA
  • December 3 2009

The House Financial Services Committee completed its work on a large scale financial regulatory overhaul on Wednesday, when the committee voted to approve the final piece of the Administration’s reform proposal systemic risk legislation


NERA report: SEC settlement trends
  • Locke Lord LLP
  • USA
  • December 9 2009

On December 7, 2009, NERA Economic Consulting issued its report titled: "SEC Settlement Trends: 3Q09 Update" (the "NERA Report"


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"