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U.S. CFTC Enforcement: Key Compliance Takeaways from 2016
  • Reed Smith LLP
  • USA
  • January 16 2017

In 2016, the U.S. Commodity Futures Trading Commission brought several

Enforcement Trends: The New Administration and Securities Enforcement
  • Ropes & Gray LLP
  • USA
  • January 10 2017

Today's podcast is a part of a series of Capital Insights podcasts we're hosting to examine the issues and potential regulatory and enforcement

Financial Services Update, Vol. 12, Issue 1
  • Winston & Strawn LLP
  • USA
  • January 9 2017

Last week, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its Annual Regulatory and Examination Priorities Letter (“Priorities

Trading and Markets Enforcement Report - January 2017
  • Morgan Lewis & Bockius LLP
  • USA
  • January 4 2017

The last several years have seen law enforcement and regulatory bodies sharpen their focus on trading activity in the securities and derivatives

The Supreme Court May Review Whether Regulatory Enforcement Actions Seeking Disgorgement are Subject to a Five-Year Statute of Limitations
  • Cadwalader Wickersham & Taft LLP
  • USA
  • January 4 2017

Federal regulatory agencies, such as the Securities and Exchange Commission (“SEC”), the Commodity Futures Trading Commission (“CFTC”), and the

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

Hong Kong Regulatory Newsletter
  • Sidley Austin LLP
  • Canada, Hong Kong, USA
  • December 22 2016

Hong Kong's Market Misconduct Tribunal (MMT), the statutory tribunal established to adjudicate civil contraventions of the Securities and Futures

The Trump Administration: Potential Levers of Regulatory Change Affecting the Commodities Markets
  • Cadwalader Wickersham & Taft LLP
  • USA
  • December 21 2016

Much has happened since the election of Donald J. Trump as the 45th President of the United States and the return of both houses of Congress to

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

Financial Services Update, Vol.11, Issue 45
  • Winston & Strawn LLP
  • USA
  • December 12 2016

Since the Federal Election, much has been written on what the results may mean for reform of bank regulation. Many have suggested that we will see