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Financial services update vol. 10, issue 24
  • Winston & Strawn LLP
  • United Kingdom, USA
  • July 20 2015

In April of this year, the Department of Labor (“DOL”) proposed a rule which amends the definition of “fiduciary” under the Employee Retirement

FCA publishes criteria used for formal enforcement investigations
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • July 12 2015

The UK Financial Conduct Authority provided insight on when it decides to investigate possible wrongdoing in a published document entitled

The Financial Report July 9, 2015 - news from Europe
  • DLA Piper LLP
  • European Union, United Kingdom
  • July 9 2015

The UK Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) published the final rules for the Senior Managers Regime, the

Judgments - so far this year
  • Dentons
  • European Union, United Kingdom
  • June 17 2015

This was a judgment of the European Court of Justice (ECJ). Mr Kolassa, who is domiciled in Austria, invested in certificates issued by Barclays in

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

Deutsche Bank fined US $2.5 billion by four regulators for LIBOR and FX manipulation
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • April 26 2015

Three regulatory agencies in the United States and one in the United Kingdom filed and settled charges against Deutsche Bank AG and one subsidiary

This week at the UK regulators - 17 February 2015
  • Clifford Chance LLP
  • China, United Kingdom
  • February 17 2015

The main enforcement developments last week were the first appearance of a former senior executive of a listed company in connection with charges of

International regulatory update - 2 - 6 February 2015
  • Clifford Chance LLP
  • European Union, Germany, Global, Hong Kong, India, Myanmar, Singapore, South Korea, United Kingdom
  • February 10 2015

International Regulatory Update 1 International Regulatory Update 2 - 6 February 2015 IN THIS WEEK'S NEWS Market Abuse Regulation: ESMA publishes

Financial litigation roundup - Autumn 2014
  • RPC
  • Hong Kong, Singapore, United Kingdom
  • December 3 2014

The High Court found that the defendants, Barclays and Tricorona, had misused the claimant, CF Partners’, confidential information and awarded

UK Government proposes new insider dealing powers in the wholesale energy markets
  • Dechert LLP
  • United Kingdom
  • September 8 2014

The Department of Energy and Climate Change published a Consultation on 6 August 2014 seeking views on its proposals to introduce new criminal