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Financial services update vol. 10, issue 24
  • Winston & Strawn LLP
  • United Kingdom, USA
  • July 20 2015

In April of this year, the Department of Labor (“DOL”) proposed a rule which amends the definition of “fiduciary” under the Employee Retirement


SEC enforcement quarterly - 3rd quarter 2016
  • Sidley Austin LLP
  • Ireland, United Kingdom, USA
  • December 1 2016

For the last several years, as we have observed in previous editions of the Quarterly, an increasing number of individuals or entities have sought to


London-based futures trader arrested, sued by CFTC and criminally charged with contributing to the may 2010 “Flash Crash” through spoofing
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • April 26 2015

Navinder Singh Sarao, a London-based trader, was arrested at his home in the United Kingdom on April 21, 2015, and accused by both the US Commodity


Deutsche Bank fined US $2.5 billion by four regulators for LIBOR and FX manipulation
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • April 26 2015

Three regulatory agencies in the United States and one in the United Kingdom filed and settled charges against Deutsche Bank AG and one subsidiary


ISDA amendment introduces time limit for withholding payments from defaulting parties
  • Hogan Lovells
  • United Kingdom, USA
  • July 31 2014

The ISDA Master Agreement contains a condition precedent at Section 2(a)(iii) which provides that a non-defaulting party is not obliged to make


This week in securities litigation (week ending November 30, 2013)
  • Dorsey & Whitney LLP
  • Hong Kong, United Kingdom, USA
  • December 1 2013

This week the SEC and the DOJ filed FCPA Actions against oil services company Weatherford International. The company became the newest member of the


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


Euroresource--deals and debt (January 2014)
  • Jones Day
  • Canada, European Union, Spain, United Kingdom, USA
  • January 31 2014

In Argentina v. NML Capital, Ltd., No. 12-842, 2014 BL 7274 (Jan. 10, 2014), the Supreme Court granted a petition for a writ of certiorari to hear an


International regulatory update - 13 17 October 2014
  • Clifford Chance LLP
  • China, USA, European Union, France, Germany, South Korea, Thailand, United Kingdom
  • October 21 2014

The EU Commission has adopted a Delegated Regulation under the Short Selling Regulation (SSR) which corrects Commission Delegated Regulation (EU) No


This week in securities litigation (week ending February 7, 2014)
  • Dorsey & Whitney LLP
  • USA, Australia, Hong Kong, United Kingdom
  • February 6 2014

Matthew Martoma was convicted of insider trading by a Manhattan jury. That jury found him guilty of one count of conspiracy and two counts of