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Derivatives Quarterly Newsletter: 4th Quarter 2016
  • Sidley Austin LLP
  • European Union, Global, Hong Kong, United Kingdom, USA
  • February 21 2017

On October 11, 2016, the CFTC proposed rules (Proposed Cross-Border Rules) that address the cross-border application of certain of the CFTC's swaps


Registered Firms: Annual Compliance Obligations-- What you need to know
  • Pillsbury Winthrop Shaw Pittman LLP
  • European Union, United Kingdom, USA
  • February 16 2017

The following are some of the important annual compliance obligations investment advisers either registered with the Securities and Exchange


Investment Management Update - February: Regulatory Priorities Corner
  • Ropes & Gray LLP
  • USA
  • February 13 2017

The following brief updates exemplify trends and areas of current focus of relevant regulatory authorities: SEC 2017 Examination Priorities The


Financial Regulatory Developments Focus February 10, 2017 Issue 22017
  • Shearman & Sterling LLP
  • European Union, United Kingdom, USA
  • February 10 2017

Shearman & Sterling is providing practical insights on the implications of actions taken by the Trump Administration on an ongoing basis. To access


The blockchain revolution: An Analysis of Regulation and Technology related to distributed Ledger Technologies
  • DLA Piper LLP
  • Australia, USA
  • February 7 2017

Blockchain is on the verge of revolutionizing how we interact in the digital world. It has far reaching applications from the Financial industry to


Making Regulation Great Again: President Trump Requires Loss of Two Regulations for Every New One and Orders Review of All Financial Services Laws and Rules
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

Last week, through the issuance of two Executive Orders, President Donald Trump began to follow through on his campaign promise to reduce the


U.S. Regulatory Action Items for Investment Advisers (2017)
  • Jones Day
  • USA
  • February 3 2017

For investment advisers (registered, exempt reporting, and unregistered), there are myriad recurring obligations and undertakings to keep in mind. As


FINRA Issues Report on Distributed Ledger Technology
  • Reed Smith LLP
  • USA
  • February 1 2017

The Financial Industry Regulatory Authority (“FINRA”) published a report on January 18, 2017, regarding Distributed Ledger Technology (“DLT”) (also


Funds Talk: February 2017
  • Kramer Levin Naftalis & Frankel LLP
  • European Union, USA
  • February 1 2017

As the new year begins, U.S. regulators highlighted the areas - some new and some familiar - which will be the focus of their examinations in the


Financial Services, Vol. 12, Issue 4
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • January 30 2017

On January 26, Sen. Sherrod Brown (D-Ohio), a ranking member of the Senate Banking Committee, and Rep. Maxine Waters (D-Calif.), a ranking member of