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Financial Services Update, Vol. 11, Issue 45
  • Winston & Strawn LLP
  • United Kingdom, USA
  • December 19 2016

Last week, the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”) issued a risk alert


International regulatory update: 27-31 July 2015
  • Clifford Chance LLP
  • Australia, European Union, Global, Italy, United Kingdom, USA
  • August 4 2015

The European Securities and Markets Authority (ESMA) has published its advice on the extension of the Alternative Investment Fund Managers Directive


Credit default swaps: litigation to come?
  • Collyer Bristow LLP
  • European Union, United Kingdom, USA
  • October 12 2015

Last month's $1.865 billion settlement of a US class action against 12 major banks for antitrust activity in the credit default swaps market presents


Financial services update, vol. 10, issue 36
  • Winston & Strawn LLP
  • United Kingdom, USA
  • October 19 2015

From time to time, financial institutions that file suspicious activity reports (SARs) with the Financial Crimes Enforcement Network (FinCEN) in the


Five banks penalized us $3.1 billion by CFTC and UK FCA for attempted manipulation of FX benchmark rates; OCC fines two of the banks and one more an additional us $950 million
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • November 16 2014

The Commodity Futures Trading Commission and the UK Financial Conduct Authority brought enforcement actions against five financial institutions for


Financial Regulatory Developments Focus November 18 2016
  • Shearman & Sterling LLP
  • European Union, Global, United Kingdom, USA
  • November 18 2016

On November 7, 2016, the US Office of the Comptroller of the Currency announced that it will launch a web-based system for banks to file licensing and


Financial Conduct Authority, Commodity Futures Trading Commission and office of the comptroller of the currency impose fines for FX rigging
  • Shearman & Sterling LLP
  • United Kingdom, USA
  • November 19 2014

On November 12, 2014, the UK's Financial Conduct Authority ("FCA") imposed fines totaling approximately £1.1 billion ($1.7 billion) on five banks


Investment management newsletter - Spring 2014
  • Arnold & Porter Kaye Scholer LLP
  • Germany, United Kingdom, USA
  • May 7 2014

At the end of 2013, the US Securities and Exchange Commission implemented changes to Rule 506 under Regulation D (Regulation D) promulgated under


This week at the UK regulators - 11 April 2016
  • Clifford Chance LLP
  • China, United Kingdom, USA
  • April 11 2016

This week, the PRA fined a UK subsidiary of an overseas bank for failures related to assessing, maintaining and reporting on the financial resources


EU regulatory changes affecting derivatives: what's already in force and what's to come
  • Hogan Lovells
  • European Union, United Kingdom, USA
  • December 21 2016

Five years on from the G20's commitment to implement measures to increase transparency and reduce risk in the derivative markets, there have been