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 2,956

FINRA’s new research rules
  • Latham & Watkins LLP
  • USA
  • August 27 2015

On August 26, 2015, the Financial Industry Regulatory Authority, Inc. (FINRA) issued two Regulatory Notices announcing the effective dates for new


Cross-border financial services providers may request extension of deadline
  • Fredrikson & Byron PA
  • USA
  • August 26 2015

As we reported on August 12, 2015, financial services providers with more than $3 million of cross-border revenues during fiscal 2014 may be required


Celebrating the CFPB’s fourth birthday with complaints, complaints and more complaints
  • Sirote & Permutt PC
  • USA
  • August 19 2015

Last month marked the fourth Birthday of the Consumer Financial Protection Bureau (CFPB). Five years ago, in direct response to the Great Recession


International regulatory update: 29 June - 3 July 2015
  • Clifford Chance LLP
  • China, European Union, Global, USA, Netherlands, Poland, Singapore, South Korea, Thailand, United Kingdom
  • July 7 2015

The programme also sets out the Presidency's intention to conclude negotiations on transparency and exchange of information regarding tax rulings and


The Financial Report June 25, 2015 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • June 25 2015

The recent ruling by US District Judge Leigh May of Atlanta that the US Securities and Exchange Commission’s administrative law judge (ALJ


Financial Agencies’ joint diversity standards voluntary for regulated entities
  • Baker & Hostetler LLP
  • USA
  • June 25 2015

Six federal financial agenciesthe Federal Reserve Board, the Federal Deposit Insurance Corporation, the National Credit Union Administration, the


Final standards published for evaluating diversity policies and practices of financial institutions
  • Vedder Price PC
  • USA
  • June 25 2015

In response to the perception that the financial services industry lacks diversity in its workforce, the Dodd-Frank Wall Street Reform and Consumer


FCA publishes Call for input: regulatory barriers to innovation in digital and mobile solutions
  • Cooley LLP
  • USA
  • June 19 2015

The FCA has published a Call for Input seeking "views about specific rules and policies that are restricting innovation or should be introduced to


Online health care, consumer data, cybersecurity risks, accounting fraud, patents Expect Focus Vol. II, Spring 2015
  • Carlton Fields Jorden Burt
  • Global, USA
  • June 17 2015

Large-scale data breaches have become increasingly common, bringing with them not only bad press and loss of customer goodwill


Financial industry compliance: enforcement challenges in the US and Europe
  • Latham & Watkins LLP
  • European Union, USA
  • June 17 2015

Whether it is anti-money Laundering (AML), sanctions, core capital requirements, misselling or securities fraud, the procedural