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Results: 1-10 of 2,924

Financial services update vol. 10, issue 22
  • Winston & Strawn LLP
  • Australia, China, USA
  • June 29 2015

China and Australia recently signed the ChinaAustralia Free Trade Agreement (ChAFTA) after ten years of negotiations. Upon full implementation of


ABCs of cross-border derivatives
  • Cadwalader Wickersham & Taft LLP
  • USA
  • June 26 2015

This outline examines the U.S. tax consequences produced by derivative instruments in international financing transactions and highlights the


The SEC’s proposed reporting and disclosure changes: what investment companies and advisers should know
  • Drinker Biddle & Reath LLP
  • USA
  • June 25 2015

On May 20, 2015, the Securities and Exchange Commission ("SEC") issued a release proposing new rules and forms and amendments to existing rules and


Fiduciary rule under scrutiny, appropriators continue targeting Dodd-Frank
  • Squire Patton Boggs
  • USA
  • June 22 2015

Last week, the House Education and the Workforce Committee held its first hearing on the Department of Labor’s recently released Fiduciary Rule


Business and principals stopped by SEC from transacting in OTC security-based swaps with retail persons
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

The Securities and Exchange Commission enjoined Sand Hill Exchange, an unincorporated business, and Gerritt Hall and Elaine Ou, who both ran Sand


AMF publishes reporting obligations and position limits for derivatives on agricultural commodities to commence July 1
  • Katten Muchin Rosenman LLP
  • USA
  • June 19 2015

On June 15, the Autorité des Marches Financiers (AMF) published a statement that the reporting obligations position limits for agricultural commodity


SEC says fantasy stock trading violates securities laws; charges others for selling illegal security-based swaps
  • Stinson Leonard Street LLP
  • USA
  • June 17 2015

The SEC issued an Investor Alert which says fantasy stock trading for small amounts of money can violate provisions of securities laws implemented by


Financial services lawmakers move on CFTC reauthorization, appropriators push for changes to Dodd-Frank
  • Squire Patton Boggs
  • USA
  • June 15 2015

Last week, Senate Banking Chairman Richard Shelby (R-AL) noted that he does not “see any crying-out need for a markup” of legislation to reauthorize


Financial services update vol. 10, issue 21
  • Winston & Strawn LLP
  • United Kingdom, USA
  • June 15 2015

Daniel Sibears, Executive Vice President for Regulatory Operations at the Financial Industry Regulatory Authority (“FINRA”), gave a speech at a


SEC seeks comment on certain exchange-traded products, including ETFs
  • Katten Muchin Rosenman LLP
  • USA
  • June 14 2015

The Securities and Exchange Commission is seeking public comment to help its review of the listing and trading of new, novel or complex