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Investment management legal regulatory update - April 2016
  • Morrison & Foerster LLP
  • USA
  • April 20 2016

The Department of Labor (DOL) issued its long-anticipated final regulation (the “Regulation”) defining who is a fiduciary as a result of giving

Financial Services Update, Vol. 11, no. 15
  • Winston & Strawn LLP
  • Global, USA
  • April 18 2016

Effective as of April 15, 2016, the Hizballah Financial Sanctions Regulations, 31 C.F.R. part 566 (the "Sanctions") were implemented by the United

Financial Services Update, Vol. 11, no. 14
  • Winston & Strawn LLP
  • April 11 2016

On April 7th, the Securities and Exchange Commission ("SEC") approvedthe Financial Industry Regulatory Authority's ("FINRA") proposed amendment to

This week at the UK regulators - 11 April 2016
  • Clifford Chance LLP
  • China, United Kingdom, USA
  • April 11 2016

This week, the PRA fined a UK subsidiary of an overseas bank for failures related to assessing, maintaining and reporting on the financial resources

International Regulatory Update 14 - 18 March 2016
  • Clifford Chance LLP
  • European Union, France, Germany, Global, Hong Kong, Italy, Poland, Singapore, United Kingdom, USA
  • March 22 2016

The EU Commission has adopted a Commission Delegated Regulation on classes of arrangements to be protected in a partial property transfer under

UK SFO Ends Forex Investigation
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • March 20 2016

The UK Serious Fraud Office announced it closed its criminal investigation into allegations of fraudulent conduct in the foreign exchange market that

International Regulatory Update 29 February - 4 March 2016
  • Clifford Chance LLP
  • Luxembourg, Russia, Singapore, Switzerland, United Kingdom, USA, European Union, France, Global, Hong Kong
  • March 8 2016

G20 Finance Ministers and Central Bank Governors have published a communiqué following their meeting in Shanghai on 27 February 2016. At the meeting

Proposed “Whistleblower Augmented Reward and Nonretaliation Act” Aims to Increase Protections for Financial Industry Whistleblowers
  • Epstein Becker Green
  • USA
  • March 8 2016

On February 25, 2016, Congressman Elijah E. Cummings (D-MD) and Senator Tammy Baldwin (D-WI) introduced the Whistleblower Augmented Reward and

An Introduction to the Commodity Futures Trading Commission’s Whistleblower Program
  • Katz Marshall & Banks LLP
  • USA
  • March 4 2016

For the time being, it might be helpful to think of the Commodity Future Trading Commission's whistleblower reward program as the younger sibling of

Financial services update, vol. 11, issue 6
  • Winston & Strawn LLP
  • USA
  • February 16 2016

On February 10, 2016, U.S. District Judge Rosemary Collyer of the District of Columbia denied the Justice Department’s motion to dismiss a lawsuit