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Market Abuse Update April 2016
  • Herbert Smith Freehills LLP
  • Australia, European Union, United Kingdom, USA
  • April 21 2016

This will be the last Market Abuse update before 3 July 2016, the date when both the new Market Abuse Regulation and the Criminal Sanctions (Market


Private funds in focus
  • Proskauer Rose LLP
  • Brazil, United Kingdom, USA
  • February 6 2014

The list below briefly summarizes various regulatory obligations and filing deadlines for private fund managers under U.S. rules. Click here to view


Governance & Securities Law Focus : April 2016Europe
  • Shearman & Sterling LLP
  • European Union, United Kingdom, USA
  • April 15 2016

On 8 February 2016, the European Securities and Markets Authority (“ESMA”) published an opinion on Turkish laws and regulations on prospectuses. The


Market abuse update April 2015
  • Herbert Smith Freehills LLP
  • Australia, European Union, United Kingdom, USA
  • April 16 2015

2014 was marked by record fines for benchmarkmManipulation globally, criminal prosecutions for insider trading and market manipulation, and the first


White Collar Defense & Investigations - April 2016
  • Weil Gotshal & Manges LLP
  • OECD, United Kingdom, USA
  • April 12 2016

This round-up contains a summary by sector of certain key global regulatory developments which occurred during the first quarter of 2016. The sectors


Market abuse update
  • Herbert Smith Freehills LLP
  • Australia, European Union, France, Hong Kong, United Kingdom, USA
  • December 15 2014

The FCA has continued to build on the strong track record of civil and criminal enforcement action against abusive conduct and manipulation, notably


The impact of heightened FSASEC cross-border cooperation
  • Reed Smith LLP
  • United Kingdom, USA
  • March 30 2010

Within financial regulatory enforcement there has long been a culture of cooperation between national regulatory authorities


The FCA wades into the debate on privilege
  • White & Case LLP
  • United Kingdom, USA
  • November 30 2015

In a speech on 5 November, the Financial Conduct Authority ("FCA") criticized some firms for letting "legal privilege become an unnecessary barrier"


Spoofing: the first criminal conviction comes in the U.S. - Perspectives from the U.S. and U.K.
  • Clifford Chance LLP
  • United Kingdom, USA
  • March 1 2016

U.S. authorities have secured their first criminal conviction for the spoofing offense added to the U.S. Commodity Exchange Act by the Dodd Frank


Foreign Corrupt Practices Act (FCPA) business guide - 2015 mid-year update
  • Jenner & Block LLP
  • Brazil, United Kingdom, USA
  • July 1 2015

The first half of 2015 witnessed a number of important developments in Foreign Corrupt Practices Act (“FCPA”) enforcement. Although both the DOJ and