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SEC enforcement quarterly - 3rd quarter 2016
  • Sidley Austin LLP
  • Ireland, United Kingdom, USA
  • December 1 2016

For the last several years, as we have observed in previous editions of the Quarterly, an increasing number of individuals or entities have sought to

Financial Services Policymakers Prepare for 2017 as Regulators Wrap-Up Work
  • Squire Patton Boggs
  • USA
  • November 28 2016

Last week, House Financial Services Committee Chairman Jeb Hensarling

U.S. Futures Exchanges Disciplinary Actions Report - October 2016
  • Bracewell LLP
  • USA
  • November 22 2016

Between March and July 2013, two traders, acting on behalf of a member firm, engaged in patterned activity in which they entered into “larger-sized”

Financial Services Update, Vol. 11, Issue 43
  • Winston & Strawn LLP
  • USA
  • November 21 2016

Legal and regulatory activity in the financial services sector included a number of actions that will be closely watched, including the Securities and

Derivatives Update: What You Should Know As We Enter 2017
  • Greenberg Traurig LLP
  • European Union, United Kingdom, USA
  • November 21 2016

This year has been full of surprises in the Global Markets with Brexit, the Republicans’ win of the Executive Branch and

Political Update: SEC Chair Announces Imminent Resignation; CFTC Chairman Urged to Put Pens Down on Three Controversial New Initiatives
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

As anticipated, Mary Jo White announced she will resign as Chair of the Securities and Exchange Commission prior to January 20, 2017. In addition

The Trump Administration: Change By Appointment
  • Cadwalader Wickersham & Taft LLP
  • USA
  • November 18 2016

The Trump Administration: Instituting Change The election of Donald J. Trump as the 45th President of the United States, along with the Republican

Financial Regulatory Developments Focus November 18 2016
  • Shearman & Sterling LLP
  • European Union, Global, United Kingdom, USA
  • November 18 2016

On November 7, 2016, the US Office of the Comptroller of the Currency announced that it will launch a web-based system for banks to file licensing and

Quick Guide to REIT IPOs
  • Morrison & Foerster LLP
  • USA
  • November 17 2016

Real Estate Investment Trusts ("REITs") are endlessly inventive. They were first developed in the 1960s as a means for ordinary retail investors to

Down to the wire: How financial institutions must manage cybersecurity threats
  • Freshfields Bruckhaus Deringer LLP
  • Global, USA
  • November 17 2016

We're in the midst of a global storm of activity by financial regulators on cybersecurity. For years there have been some generally applicable