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 1,386

Compliance Issues FinTech Firms (and FinTech Investors) Should Be Focused on in 2016
  • Debevoise & Plimpton LLP
  • USA
  • January 12 2016

Financial technology (“FinTech”) firms come in all shapes and sizes, and face a wide variety of issues in the course of their operations


Financial Industry Regulatory Authority 2016 Exam Priorities
  • Sidley Austin LLP
  • USA
  • January 12 2016

On January 5, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priorities Letter (Letter) to


Q4 2015: Regulatory Round-Up
  • Weil Gotshal & Manges LLP
  • United Kingdom, USA
  • January 11 2016

This round-up contains a summary by sector of certain key global regulatory developments which occurred during the fourth quarter of 2015. The


The State AG Report Weekly Update January 7, 2016
  • Cozen O'Connor
  • USA
  • January 7 2016

Kansas AG Derek Schmidt reached a settlement with American Handicapped & Disadvantaged Workers, Inc., (“ADHW”) and its president and CEO for


eCommerce Regulation, Bitcoin, Anti-Money Laundering, Shadow Insurance, 401(k) Litigation Expect Focus - Vol. IV, Fall 2015
  • Carlton Fields
  • USA
  • December 23 2015

On January 1, 2016, Section 38.6 of the California Insurance Code will take effect permitting consumers to conduct certain life, disability, and


CFPB Takes Action Against Lead Aggregators
  • Morrison & Foerster LLP
  • USA
  • December 21 2015

On December 17, 2015, the Consumer Financial Protection Bureau ("CFPB") announced that it has taken action against lead aggregators that resold


OCC releases Semiannual Risk Perspective report
  • BuckleySandler LLP
  • USA
  • December 18 2015

On December 16, the OCC released its Semiannual Risk Perspective report to provide an overview of supervisory concerns for the federal banking system


Investment management legal regulatory update - November 2015
  • Morrison & Foerster LLP
  • USA
  • November 17 2015

In a Risk Alert dated November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) said it found that outsourced compliance


Corporate crime & investigations update - 13 November 2015
  • Addleshaw Goddard LLP
  • Brazil, Guernsey, Norway, United Kingdom, USA
  • November 13 2015

The company's former CEO agreed to end a consulting agreement with the board and give up his 2015 bonus after the Norwegian police joined other


DOJ unseals indictment against individuals for alleged involvement in hacks against various U.S. institutions
  • BuckleySandler LLP
  • USA
  • November 12 2015

On November 10, the DOJ unsealed an indictment against three individuals, Gery Shalon, Joshua Samuel Aaron and Ziv Orenstein, for allegedly