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Results: 1-10 of 1,967

Expect the unexpected: The year ahead for the Financial Institutions Sector
  • Hogan Lovells
  • European Union, United Kingdom, USA
  • January 13 2017

There’s nothing new about change in the financial institutions sector. As in previous years, change for firms will be driven largely by regulation and


Q4 2016 U.S. Legal and Regulatory Developments
  • Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • Canada, USA
  • January 9 2017

On December 8, 2016, the Securities and Exchange Commission (the "SEC") released several new Compliance and Disclosure Interpretations ("C&DIs"


Private Fund ReportSummary of Key DevelopmentsWinter 2016
  • Paul Hastings LLP
  • Cayman Islands, USA
  • January 3 2017

This continues to be a time of rapid change for the private investment funds industry, as the Securities and Exchange Commission (the “SEC”), the


Ropes & Gray’s Investment Management Update: October - November 2016
  • Ropes & Gray LLP
  • USA
  • December 7 2016

On October 18, 2016, the SEC published a settlement order with a mutual fund adviser in which the SEC alleged that the adviser had misvalued an


Funds Talk: December 2016
  • Kramer Levin Naftalis & Frankel LLP
  • European Union, France, United Kingdom, USA
  • December 1 2016

The Office of Compliance Inspections and Examinations (OCIE) announced it is examining registrants' compliance with key whistleblower provisions


Outgoing SEC Chair Reflects on the Agency’s Enforcement Program and Advocates for Increased Authority
  • Proskauer Rose LLP
  • USA
  • November 28 2016

On November 18, 2016, outgoing SEC Chair Mary Jo White delivered a speech at New York University School of Law entitled “A New Model for SEC


2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds
  • Proskauer Rose LLP
  • European Union, Hong Kong, Ireland, OECD, United Kingdom, USA
  • November 15 2016

On March 10, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released a


Maples and Calder Funds Update - Ireland Quarterly Update July - September 2016
  • Maples and Calder
  • European Union, Global, Ireland, OECD, United Kingdom, USA
  • November 3 2016

The European Union (Undertakings for Collective Investment in Transferable Securities) (Amendment) Regulations 2016 implemented the UCITS V Directive


International Regulatory Update 24 - 28 October 2016
  • Clifford Chance LLP
  • European Union, Global, Hong Kong, United Kingdom, USA
  • November 1 2016

The EU Commission has published its Work Programme for 2017, setting out the list of actions it will take in the coming twelve months. The Commission


Supreme Court: What Constitutes an Insider Trading “Personal Benefit”
  • Manatt Phelps & Phillips LLP
  • USA
  • November 1 2016

On October 5, 2016, the Supreme Court heard oral argument in Salman v. United States, where the central issue was what the government needs to prove