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International Regulatory Update 10 - 14 October 2016
  • Clifford Chance LLP
  • Hong Kong, USA
  • October 18 2016

The European Securities and Markets Authority (ESMA) and the European Banking Authority (EBA) have both published their work programmes for 2017

Governance & Securities Law Focus: Europe Edition, October 2016
  • Shearman & Sterling LLP
  • Germany, Hong Kong, Italy, United Kingdom, USA
  • October 17 2016

On 15 September 2016, the European Parliament resolved to adopt amendments to the European Commission's proposal for a new Prospectus Regulation to

Financial Services Update, Vol. 11, Issue 38
  • Winston & Strawn LLP
  • USA
  • October 17 2016

The SEC announced on October 11th that it filed a record number of enforcement actions in fiscal year 2016. During the fiscal year, which ended

Financial Services Update, Vol. 11, Issue 35
  • Winston & Strawn LLP
  • USA
  • September 26 2016

The Securities and Exchange Commission’s (“SEC”) Office of Compliance, Inspections and Examinations (“OCIE”) issued a Risk Alert on September 12th

Community Banks - Week in Review - September 26, 2016
  • Nelson Mullins Riley & Scarborough LLP
  • USA
  • September 26 2016

Apart from the FDIC Chairman's statement last Tuesday about coming reductions in DIF assessments for most banks, the past week had little

The Financial Report, 22 September 2016, US Exchanges and Self-Regulatory Organizations
  • DLA Piper LLP
  • USA
  • September 22 2016

FINRA sanctions Avenir Financial, CEO and registered representative for misconduct in self-offerings. The Financial Industry Regulatory Authority

Financial Services Update, Vol. 11, Issue 34
  • Winston & Strawn LLP
  • USA
  • September 19 2016

A federal court recently granted the Consumer Financial Protection Bureau (CFPB) summary judgment regarding liability against CashCall, Inc., its

Barclays to Pay $100 Million to Settle Multistate LIBOR Manipulation Investigation
  • Baker & Hostetler LLP
  • USA
  • September 15 2016

The LIBOR scandal is back in the news with Attorney General Eric Schneiderman’s announcement of a $100 million settlement between Barclays and 44

Federal Civil Penalties Set to Increase Significantly, Many Present Retroactivity Concerns
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • September 14 2016

Over the past several months, many federal agencies have adopted rules significantly increasing the maximum civil monetary penalties ("CMPs") they can

International Regulatory Update 5 - 9 September 2016
  • Clifford Chance LLP
  • Australia, European Union, USA
  • September 13 2016

The European Supervisory Authorities (ESAs) have published an opinion rejecting the EU Commission’s proposed amendments to the final draft regulatory