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Funds and leverage - Investment Management Roundtable Series
  • Pepper Hamilton LLP
  • USA
  • October 31 2016

Pepper partner Gregory J. Nowak hosts a monthly Investment Management Roundtable for West LegalEdCenter. This session’s topic was funds and leverage


FINRA Issues Notice Reminding Member Firms of “Time of Execution” Reporting
  • Katten Muchin Rosenman LLP
  • USA
  • August 12 2016

On August 10, the Financial Industry Regulatory Authority issued Regulatory Notice 16-30, which reminds member firms of their obligations to


International Regulatory Update 03 - 06 May 2016
  • Clifford Chance LLP
  • European Union, Hong Kong, Italy, Luxembourg, Netherlands, Saudi Arabia, Singapore, Spain, United Kingdom, USA
  • May 10 2016

The European Securities and Markets Authority (ESMA) has published two opinions proposing amendments to draft Regulatory Technical Standards (RTS) 2


FINRA Proposes Amendment to Transactions in Exchange-Traded Managed Fund Shares Rule
  • Katten Muchin Rosenman LLP
  • USA
  • April 1 2016

On March 29, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a proposed amendment to FINRA Rule 6184


Federal Reserve Re-proposes Single-Counterparty Credit Limits for US and Non-US Banking Organizations
  • Mayer Brown LLP
  • USA
  • March 24 2016

On March 5, 2016, the Board of Governors of the US Federal Reserve System (Federal Reserve) re-proposed a rule, originally proposed in 2011, that


International Regulatory Update 14 - 18 March 2016
  • Clifford Chance LLP
  • Italy, Poland, Singapore, United Kingdom, USA, European Union, France, Germany, Global, Hong Kong
  • March 22 2016

The EU Commission has adopted a Commission Delegated Regulation on classes of arrangements to be protected in a partial property transfer under


Another Brick in the Wall: The Fed Reproposes Single-Counterparty Credit Limits for Large Banking Organizations
  • Morrison & Foerster LLP
  • USA
  • March 9 2016

On March 4, 2016, the Board of Governors of the Federal Reserve System (the “Fed”) issued a Notice of Proposed Rulemaking (“NPRM”), inviting comment


FINRA Addresses Inaccurate Levels of a Proprietary Index
  • Morrison & Foerster LLP
  • USA
  • January 15 2016

In November 2015, FINRA fined a member firm after the member firm published inaccurate levels for a proprietary index. In this case, FINRA


SEC Issues Research Note Relating to August 2015 Equity Market Volatility
  • Morrison & Foerster LLP
  • USA
  • January 15 2016

In December 2015, the Office of Analytics and Research of the SEC’s Division of Trading and Markets issued a research note discussing the extreme


U.S. Regulatory Developments: What to Expect in 2016
  • Morrison & Foerster LLP
  • USA
  • December 14 2015

As we make our annual prognostications, there is less visibility than in years past regarding many regulatory and enforcement matters. The majority