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US Financial Stability Oversight Council Focuses on Asset Management Products and Activities
  • Shearman & Sterling LLP
  • USA
  • April 26 2016

On April 18, 2016, the US Financial Stability Oversight Council issued an update on its multi-year review of potential financial stability risks in


FSOC Review of Asset Management Sector
  • Hogan Lovells
  • USA
  • April 26 2016

On April 18, 2016, the Financial Stability Oversight Council (FSOC) released a statement providing an update of its ongoing review of asset


SEC Adopts Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • April 25 2016

On April 15, 2016, the Securities and Exchange Commission adopted final rules modifying regulations “for security-based Swap Dealers and major


Financial Services Update, Vol. 11, no. 16
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • April 25 2016

In response to an EU Commission request, the European Securities and Markets Authority (“ESMA”) issued on April 11 its key principles for a European


FINRA Expands Focus on Algorithmic Trading With New Registration Requirements
  • Sidley Austin LLP
  • USA
  • April 25 2016

On April 7, 2016, the Securities and Exchange Commission (SEC) approved a proposed rule change by the Financial Industry Regulatory Authority (FINRA


Asset Management and Financial Stability
  • Sullivan & Cromwell LLP
  • USA
  • April 25 2016

On April 18, 2016, the Financial Stability Oversight Council (“FSOC”) held an open meeting during which it unanimously approved a public statement on


SEC Waivers with Strings Attached: the Wave of the Future?
  • Carlton Fields
  • USA
  • April 25 2016

The SEC recently attached potentially precedent-setting conditions to a waiver from certain automatic disqualifications under the federal securities


SEC Proposes New Limits on Funds’ Use of Derivatives
  • Carlton Fields
  • USA
  • April 25 2016

The SEC recently proposed a new rule (Rule 18f-4) to govern the use of derivatives by mutual funds, ETFs, and closed-end funds (including BDCs). The


FSOC Expresses Concerns That Pooled Investment Vehicles’ Liquidity and Redemption Risks May Pose Financial Stability Concerns
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

The Financial Stability Oversight Council issued an update on asset management products and activities that, it claimed, might pose threats to


Futures Exchanges Conform Rules to Latest CFTC OCR No Action Relief
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

Two exchanges, CME Group and CBOE Futures, amended their rules to conform certain of their revised large trader reporting requirements' deadlines to