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Securities Enforcement: 2016 Mid-Year Review
  • Shearman & Sterling LLP
  • USA
  • July 20 2016

The Securities and Exchange Commission (SEC or Commission) brought over 400 enforcement actions in the first half of fiscal year (FY) 2016, and is on


Impact of Brexit on UK FinTech
  • K&L Gates
  • European Union, United Kingdom, USA
  • July 20 2016

In this insight we consider the current and potential effect of Brexit on the UK’s FinTech industry across areas including regulation and passporting


International Regulatory Update 11 - 15 July 2016
  • Clifford Chance LLP
  • European Union, Global, Hong Kong, United Kingdom, USA
  • July 19 2016

The EU Commission has published a proposed Regulation to amend Regulation (EU) 3452013 on European Venture Capital Funds (EuVECA Regulation) and


OCIE Begins IA Sweep to Detect Possible Conflict of Interest Related to Recommendations of Mutual Fund Shares Classes With High Charges
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations announced that, in upcoming audits, it would specifically


Ethereum’s DAO attack: smart contracts and blockchain face their first big test
  • Clyde & Co LLP
  • USA
  • June 30 2016

On 17 June 2016, USD 60 million was siphoned from Ethereum’s first decentralised autonomous organisation (DAO). The affected DAO is simply (albeit


Third-Party Service Provider to Private Equity Funds Pays More Than $350,000 for Gatekeeping Failures
  • Drinker Biddle & Reath LLP
  • USA
  • June 21 2016

On June 16, 2016, Apex Fund Services (US), Inc., settled charges that it ignored clear indications of fraud while keeping records and preparing


Sidley Perspectives on M&A and Corporate Governance - June 2016
  • Sidley Austin LLP
  • USA
  • June 10 2016

The exposure of corporate directors to shareholder derivative suits relating to their obligations to provide "risk oversight" to the company may turn


SEC Announces Settlement with Adviser Found to Have Acted as an Unregistered Broker
  • Proskauer Rose LLP
  • USA
  • June 9 2016

The SEC is continuing its pattern of establishing “standards of conduct” for the private equity industry through speeches, enforcement actions, and


SEC Enforcement Action Highlights Need for Private Equity Firms to Consider Broker-Dealer Registration
  • Katten Muchin Rosenman LLP
  • USA
  • June 2 2016

A recent SEC enforcement action against a private equity firm highlights issues identified in a recent speech by the Director of the Securities and


Doing Business in Spain:a legal tax perspective - May 2016
  • Cuatrecasas Gonçalves Pereira
  • European Union, Global, OECD, United Kingdom, USA
  • June 2 2016

This guide provides an overview or the key legal aspects for foreign Investors interested in investing in Spain. It is not intended to be