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 1,267

FCA Publishes Discussion Paper on Illiquid Investments and Open-Ended Funds
  • Katten Muchin Rosenman LLP
  • European Union, United Kingdom, USA
  • February 10 2017

On February 8, the UK Financial Conduct Authority (FCA) published a discussion paper (Paper), seeking stakeholder views on open-ended funds investing


International Bank Fined Over US $625 Million for AML Violations by UK FCA and New York State
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • February 5 2017

Deutsche Bank AG agreed to pay sanctions of slightly more than GB £163 million (approximately US $203 million) to the UK Financial Conduct Authority


Making Regulation Great Again: President Trump Requires Loss of Two Regulations for Every New One and Orders Review of All Financial Services Laws and Rules
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

Last week, through the issuance of two Executive Orders, President Donald Trump began to follow through on his campaign promise to reduce the


FINRA and ISG Update Electronic Blue Sheet Data Elements
  • Katten Muchin Rosenman LLP
  • USA
  • February 3 2017

The Financial Industry Regulatory Authority (FINRA) and the US members of the Intermarket Surveillance Group (ISG) have updated various data elements


Regulatory Freeze Memorandum To Have Minimal Impact on Structured Finance Industry
  • Katten Muchin Rosenman LLP
  • USA
  • January 25 2017

On January 20, the Trump administration issued a memorandum instructing all executive departments and agencies to freeze the review and final


Language Matters: Third Circuit Finds Make-Whole Provision Enforceable After Bankruptcy Filing
  • Katten Muchin Rosenman LLP
  • USA
  • January 19 2017

On November 17, 2016, the US Court of Appeals for the Third Circuit in Delaware Trust Co. v. Energy Future Intermediate Holding Co. LLC, No. 16-1351


SEC Charges Publicly Traded Global Financial Services Firm With Miscomputing Regulatory Capital
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Bank of New York Mellon Corporation agreed to pay a fine of US $6.6 million to resolve charges brought by the Securities and Exchange Commission


Federal Regulators Issue FAQs on New Credit Losses Accounting Standard
  • Katten Muchin Rosenman LLP
  • USA
  • January 6 2017

On June 16, 2016, the Financial Accounting Standards Board issued Accounting Standards Update (ASU) No. 2016-13, Topic 326, Financial Instruments -


FINRA Publishes 2017 Regulatory and Examination Priorities Letter
  • Katten Muchin Rosenman LLP
  • USA
  • January 6 2017

On January 4, the Financial Industry Regulatory Authority published its Annual Regulatory and Examinations Letter (Priorities Letter), which outlines


FFIEC Streamlines Call Reports for Small Institutions
  • Katten Muchin Rosenman LLP
  • USA
  • January 6 2017

The Federal Financial Institutions Examination Council (FFIEC) published a Federal Register Notice on December 30, 2016, finalizing the reporting