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Results: 1-10 of 4,279

Investment company and former CEO charged with defrauding investors related to sale of index products using ETFs; firm settles by payment of US $35 million
  • Katten Muchin Rosenman LLP
  • USA
  • January 4 2015

The Securities and Exchange Commission filed charges against FSquared Investments, claiming it defrauded investors by falsely advertising a


Financial services update March 10 2014 federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • March 10 2014

Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private


Developments regarding Dodd-Frank swap rules
  • Locke Lord LLP
  • USA
  • June 27 2013

Since last fall, the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") have issued additional final


Financial services update, vol. 8, number 24
  • Winston & Strawn LLP
  • USA
  • June 24 2013

On June 30, 2013, temporary no-action relief provided by the Commodity Futures Trading Commission (the “CFTC”) regarding certain equity total return


International Securities Exchange: market maker risk mitigation proposal filed
  • Winston & Strawn LLP
  • USA
  • June 24 2013

On June 18th, the SEC provided notice of the International Securities Exchange's (the "Exchange") filing of a proposal that would mitigate market


Financial services update March 10 2014 Exchanges and Self-Regulatory Organizations
  • Winston & Strawn LLP
  • USA
  • March 10 2014

On March 5th, the SEC approved BATS Exchange's proposed amendments to allow the Exchange's equity options trading platform ("BATS Options") to


Financial services update on UK and European regulatory developments
  • Dechert LLP
  • European Union, Ireland, United Kingdom, USA
  • July 24 2013

The Regulations introduce mandatory clearing of OTC derivatives via one or more central counterparties (clearing houses) which will be authorised by


Financial services update July 21 2014 federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • July 21 2014

Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of


Federal Reserve Board and OCC issue interim final rule amending U.S. bank capital and other rules to account for global implementation of bank special resolution regimes
  • Morrison & Foerster LLP
  • USA
  • January 12 2015

On December 16, 2014, the Office of the Comptroller of the Currency ("OCC") and the Board of Governors of the Federal Reserve System ("Board"


Accelerated approval granted to proposed adoption of LSOC
  • Winston & Strawn LLP
  • USA
  • February 19 2013

On February 7th, the SEC granted accelerated approval to ICE Clear Europe's proposal implementing the enhanced margin segregation model for cleared