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Results: 1-10 of 1,180

Continued focus on Dodd-Frank, challenge to CFPB moves forward
  • Squire Patton Boggs
  • USA
  • July 27 2015

Last week, the Senate Appropriations Committee passed along party lines in a 16-14 vote a $20.6 billion financial services appropriations package


Financial services update vol. 10, issue 25
  • Winston & Strawn LLP
  • USA
  • July 27 2015

On July 20, the U. S. Department of the Treasury published a formal Notice and Request for Comment on the subject of expanding access to credit


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 can’t retroactively apply Dodd-Frank sanctions says US Court of Appeals
  • Katten Muchin Rosenman LLP
  • USA
  • July 19 2015

The federal court of appeals for the District of Columbia ruled that the Securities and Exchange Commission impermissibly applied sanctions available


Financial services update vol. 10, issue 23
  • Winston & Strawn LLP
  • USA
  • July 13 2015

On June 29, 2015, the Securities and Exchange Commission (“SEC”) settled an enforcement action against Kohlberg Kravis Roberts & Co., a private


Financial services update vol. 10, issue 22
  • Winston & Strawn LLP
  • Australia, China, USA
  • June 29 2015

China and Australia recently signed the ChinaAustralia Free Trade Agreement (ChAFTA) after ten years of negotiations. Upon full implementation of


Financial services update vol. 10, issue 21
  • Winston & Strawn LLP
  • United Kingdom, USA
  • June 15 2015

Daniel Sibears, Executive Vice President for Regulatory Operations at the Financial Industry Regulatory Authority (“FINRA”), gave a speech at a


Hedge fund report - summary of key developments - spring 2015
  • Paul Hastings LLP
  • USA
  • June 1 2015

This continues to be a time of rapid change for the hedge fund industry, as the Securities and Exchange Commission (the "SEC"), the Commodity Futures


Financial services update vol. 10, issue 20
  • Winston & Strawn LLP
  • USA
  • June 1 2015

On May 22, 2015, the Consumer Financial Protection Bureau (CFPB) issued its statutorily mandated semi annual rulemaking agenda. This agenda contains


Financial services update vol. 10, issue 19
  • Winston & Strawn LLP
  • European Union, USA
  • May 18 2015

Marc Wyatt, Acting Director of the Office of Compliance, Inspections and Examinations ("OCIE") weaved the theme of transparency throughout his