We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 3,831

International Regulatory Update 18 - 22 July 2016
  • Clifford Chance LLP
  • European Union, USA
  • July 26 2016

EU Commission Vice President Valdis Dombrovskis and US Secretary of the Treasury, Jacob Lew, have exchanged letters outlining new arrangements for


Fintech at the Crossroads: Regulating the Revolution
  • McMillan LLP
  • Canada, USA
  • July 22 2016

Financial technology or "FinTech" -- using information and communications technology to better deliver financial services -- has undergone explosive


SEC Takes a Closer Look at Secondary Market Trading of Silicon Valley Shares
  • Fenwick & West LLP
  • USA
  • July 22 2016

Investors want a piece of Silicon Valley’s hot companies. Couple that trend with employees looking to diversify or sell shares and secondary market


Massachusetts issues guidelines for using third-party robo-advisers
  • K&L Gates
  • USA
  • July 21 2016

In April 2016, the Massachusetts Securities Division issued a policy statement with respect to the fiduciary obligations of state-registered advisers


SEC Settles Charges Against Morgan Stanley For Failing To Adopt Written Policies and Procedures Designed to Protect Customer Data
  • Vedder Price PC
  • USA
  • July 21 2016

On June 8, 2016, the SEC announced settled administrative proceedings against Morgan Stanley Smith Barney LLC (MSSB), a registered investment adviser


SEC Proposes New Rule and Rule Amendment Requiring Business Continuity and Transition Plans for Advisers
  • Vedder Price PC
  • USA
  • July 21 2016

On June 28, 2016, the SEC proposed Rule 206(4)-4 under the Advisers Act that would require all SEC registered investment advisers to adopt and


Division of Investment Management Issues Guidance Update Concerning Business Continuity Planning for Funds
  • Vedder Price PC
  • USA
  • July 21 2016

On June 28, 2016, the staff of the SEC’s Division of Investment Management issued a Guidance Update (the Guidance) discussing business continuity


Securities Enforcement: 2016 Mid-Year Review
  • Shearman & Sterling LLP
  • USA
  • July 20 2016

The Securities and Exchange Commission (SEC or Commission) brought over 400 enforcement actions in the first half of fiscal year (FY) 2016, and is on


Impact of Brexit on UK FinTech
  • K&L Gates
  • European Union, United Kingdom, USA
  • July 20 2016

In this insight we consider the current and potential effect of Brexit on the UK’s FinTech industry across areas including regulation and passporting


Cyber Security Quarterly Round-Up - July 2016
  • Herbert Smith Freehills LLP
  • Australia, European Union, United Kingdom, USA
  • July 20 2016

Cyber security affects all businesses and industries and is a Board level agenda item. Our quarterly eBulletin provides a round-up of best practice