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Results: 1-10 of 3,137

Mandatory Margin Posting Regulations Coming Soon for Uncleared Swaps
  • Akerman LLP
  • USA
  • March 1 2016

U.S. bank regulators recently adopted final rules establishing initial and variation margin requirements for uncleared swaps (Final Margin Rules


Financial services update vol. 10, issue 26
  • Winston & Strawn LLP
  • United Kingdom, USA
  • August 3 2015

The pay ratio disclosure rule is back on the agenda for the Securities and Exchange Commission (the “SEC”). On July 29th, the SEC stated that it will


Jones Day's Jay Tambe discusses navigating the potential emerging markets debt crisis
  • Jones Day
  • USA
  • March 4 2016

This Emerging Issues video is the first in a series about risk management in the current economic environment. In it, Jay Tambe, co-leader of Jones


All in the Family Prearranged Trades Result in CME Group Fines; Delivery Line Freshening Transactions Also Result in Sanctions
  • Katten Muchin Rosenman LLP
  • USA
  • March 6 2016

A hearing committee of the Chicago Mercantile Exchange held that Aaron Wilkey and Melissa Wilkey, husband and wife, violated exchange rules when, on


Opportunities in derivatives for community and regional banks
  • Vedder Price PC
  • USA
  • November 17 2015

In this article we will explore the recent movement by larger community banks and their regional counterparts ("Interested Banks") to engage in


US Bank agrees to pay US $18 million to resolve CFTC lawsuit related to Peregrine Financial Group
  • Katten Muchin Rosenman LLP
  • USA
  • February 8 2015

U.S. Bank, N.A. agreed to pay US $18 million to the court-appointed trustee for Peregrine Financial Group to resolve the enforcement proceeding


Lawmakers continue focus on Dodd-Frank, CFTC and SEC propose rules
  • Squire Patton Boggs
  • USA
  • July 6 2015

With Senate Banking Committee Chairman Richard Shelby’s (R-AL) “resting,” this week the House Financial Services Committee will hold a hearing to


Other developments
  • Ropes & Gray LLP
  • USA
  • March 31 2015

Since the last issue of our IM Update, we have also published the following separate Alerts of interest to the investment management industry: SEC


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


US and UK regulators and authorities fine Deutsche Bank $2.5 billion for failings related to IBOR and LIBOR
  • Shearman & Sterling LLP
  • United Kingdom, USA
  • April 29 2015

On April 23, 2015, US and UK regulators imposed fines on Deutsche Bank AG for failings related to EURIBOR and LIBOR (collectively known as IBOR