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Financial services update, vol. 11, issue 3
  • Winston & Strawn LLP
  • USA
  • January 25 2016

As 2016 begins, the examination priorities (“Examination Priorities”) released by the Financial Industry Regulatory Authority (“FINRA”) on January


Hedge Fund Report: Summary of Key DevelopmentsFall 2015
  • Paul Hastings LLP
  • USA
  • December 21 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


Bank Sanctioned US $307 Million by CFTC and SEC for Alleged Conflicts of Interest in Investing Clients’ Funds
  • Katten Muchin Rosenman LLP
  • USA
  • December 20 2015

The Commodity Futures Trading Commission and the Securities and Exchange Commission both filed and settled enforcement actions naming JPMorgan Chase


Swiss Regulator Bans Six Managers and Traders for Employer’s Market Infractions in Foreign Exchange and Precious Metals Trading
  • Katten Muchin Rosenman LLP
  • USA
  • December 20 2015

The Swiss Financial Market Supervisory Authority banned six managers and traders formerly associated with UBS's foreign exchange and precious metals


Financial services update, vol. 10, issue 41
  • Winston & Strawn LLP
  • USA
  • November 23 2015

On Thursday, November 19, 2015, the SEC entered into a settlement with Sands Brothers Asset Management LLC (“Sands Brothers” or the “firm”), its


Bank settles NYS charges related to FX trading system that allegedly rejected some client orders where bank could not profit
  • Katten Muchin Rosenman LLP
  • USA
  • November 22 2015

Barclays Bank PLC and its New York branch agreed to pay US $150 million to the New York State Department of Financial Services to resolve charges


Investment management legal regulatory update - November 2015
  • Morrison & Foerster LLP
  • USA
  • November 17 2015

In a Risk Alert dated November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) said it found that outsourced compliance


Financial services update, vol. 10, issue 36
  • Winston & Strawn LLP
  • United Kingdom, USA
  • October 19 2015

From time to time, financial institutions that file suspicious activity reports (SARs) with the Financial Crimes Enforcement Network (FinCEN) in the


Financial services update vol. 10, issue 35
  • Winston & Strawn LLP
  • USA
  • October 12 2015

In a closely watched decision, last week the Supreme Court dealt a blow to the Government’s aggressive efforts to prosecute insider trading by


Closing gaps? FinCEN proposes anti-money laundering rule for investment advisers
  • Carlton Fields
  • USA
  • September 3 2015

After more than a decade of delay, the Financial Crimes Enforcement Network (FinCEN) of the Department of Treasury issued a notice of proposed