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FINRA Regulatory Matters at a Glance: What Compliance Officers Need to Know - April 2016
  • Winston & Strawn LLP
  • USA
  • May 3 2016

Trade Reporting and Compliance Engine (TRACE): Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems


FINRA Issues Report on Digital Investment Advice
  • Thompson Hine LLP
  • USA
  • April 28 2016

In March 2016, the Financial Industry Regulatory Authority (FINRA) issued a report on its review of digital investment advice tools used by


Financial Regulators Propose Incentive Compensation Rules under Dodd-Frank
  • Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • USA
  • April 27 2016

On April 21, 2016, the Securities and Exchange Commission, the Office of the Comptroller of the Currency, the Board of Governors of the Federal


Details Emerge: Proposed Regulation of Incentive Compensation at Large Financial Institutions
  • Sullivan & Cromwell LLP
  • USA
  • April 27 2016

Yesterday, the Federal Deposit Insurance Corporation, the Federal Housing Finance Agency and the Office of the Comptroller of the Currency each


US Government Accountability Office Issues Report on Resolution Plan Review Process by US Regulators
  • Shearman & Sterling LLP
  • USA
  • April 21 2016

On April 12, 2016, the US Government Accountability Office issued a report on the resolution plan review processes developed by the US Federal


New Proposed Rules for Incentive Compensation For “Financial Institutions” Under Dodd-Frank Act Section 956
  • Winston & Strawn LLP
  • USA
  • April 21 2016

Just when you thought you could begin preparing for your annual meeting after filing your proxy statement, this morning, new proposed rules on


NYDFS names Celeste Koeleveld General Counsel
  • BuckleySandler LLP
  • USA
  • April 14 2016

On April 11, the NYDFS appointed Celeste Koeleveld as General Counsel. Koeleveld will be responsible for all legal matters in the Department. Prior


The US Department of Labor’s Final “Fiduciary” Rule Incorporates Concessions to Financial Service Industry but Still Poses Key Challenges
  • Shearman & Sterling LLP
  • USA
  • April 14 2016

On April 6th, the US Department of Labor issued its final “fiduciary” rule. Over 800 pages in length and more than 15 years and three iterations in


NAIC Gets the Ball Rolling to Streamline GLBA Annual Privacy Notices
  • Locke Lord LLP
  • USA
  • April 14 2016

As reported here, recent amendments to the annual privacy notice requirement under the Gramm-Leach-Bliley Act (the "GLBA") contained in the Fixing


Resistance Is Not Always Futile: The D.C. District Court Deals FSOC a Significant Blow by Rescinding MetLife’s Designation
  • Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • USA
  • April 11 2016

On March 30, the D.C. District Court issued an order rescinding the Financial Stability Oversight Council’s (FSOC’s) designation of MetLife, Inc