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Financial Services Update, Vol. 12, Issue 20
  • Winston & Strawn LLP
  • European Union, Ireland, United Kingdom, USA
  • May 15 2017

U.S. financial regulators are tackling one of Wall Street’s biggest concerns by discussing the Volcker Rule. The Volcker Rule governs banks’


Ex-SEC Employee Pleads Guilty to Lying About Trading Securities
  • Katten Muchin Rosenman LLP
  • USA
  • May 14 2017

On May 9, David Humphrey, a former branch chief in the Securities and Exchange Commission's Division of Corporate Finance, pleaded guilty to charges


U.S. Supreme Court to Review Scope of “Settlement Payment Defense” for Bankruptcy Clawback Suits
  • K&L Gates
  • USA
  • May 12 2017

On May 1, 2017, the U.S. Supreme Court announced that it would review the Seventh Circuit’s decision in FTI Consulting, Inc. v. Merit Management Group


The Delta Report - Derivatives Newsletter: May 2017
  • White & Case LLP
  • European Union, United Kingdom, USA
  • May 10 2017

Banking Capital Markets The Delta Report Derivatives Newsletter In this issue... Regulatory Developments Globally (a) Variation Margin Requirements


Governance & Securities Law Focus: Asia Edition, May 2017
  • Shearman & Sterling LLP
  • Asia-Pacific, European Union, Global, United Kingdom, USA
  • May 1 2017

On 26 January 2017, the State Administration of Foreign Exchange (the "SAFE") issued the Notice on Further Promotion of Foreign Exchange


Funds Talk: May 2017
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • May 1 2017

While the Securities and Exchange Commission (SEC) has garnered significant attention for its increased efforts and focus on regulating and enforcing


Financial CHOICE Act "2.0"
  • Sullivan & Cromwell LLP
  • USA
  • April 21 2017

House Financial Services Committee Chairman Releases Revised Financial Regulatory Reform Proposal


Ropes & Gray’s Investment Management Update: February 2017 - March 2017
  • Ropes & Gray LLP
  • USA
  • April 6 2017

The following summarizes recent legal developments of note affecting the mutual fundinvestment management industry: SEC Issues Guidance Update on


2017 ICI Mutual Funds and Investment Management Conference
  • Ropes & Gray LLP
  • USA
  • April 3 2017

Mr. Blass addressed the potential opportunities that may arise for the industry out of the recent change in the presidential administration, the ICI's


Financial Services Update, Vol. 12, Issue 13
  • Winston & Strawn LLP
  • USA
  • March 27 2017

On March 22, 2017, the Securities and Exchange Commission (SEC) adopted an amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934, as