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Key Regulatory Topics: Weekly Update - 2 June 2017 - 8 June 2017
  • Allen & Overy LLP
  • European Union, United Kingdom
  • June 9 2017

On 8 June, ESMA published the official EU language versions of two sets of Guidelines under the CSDR. The first Guideline, ESMA70-151-294 aims at

The Financial Report, 8 June 2017, News from Europe
  • DLA Piper LLP
  • European Union, United Kingdom
  • June 8 2017

ESMA announced that it has added 14 new Q&As to its Q&A document on the implementation of investor protection topics under the MiFID II MiFIR

Financial Services Update, Vol. 12, Issue 23
  • Winston & Strawn LLP
  • United Kingdom, USA
  • June 12 2017

On June 5th, the SEC charged a Utah-based brokerage firm with thousands of violations of Section 17(a) of the Securities Exchange Act of 1934 and

Anti-Money Laundering Scrutiny Intensifies on Both Sides of the Atlantic
  • Eversheds Sutherland (US) LLP
  • United Kingdom, USA
  • June 5 2017

US and UK regulators continue to focus on enforcement actions against institutions and individuals for violations of anti-money laundering (AML) laws

Privilege in cross-border investigations and litigation: The Serious Fraud Office v ENRC Limited
  • Milbank Tweed Hadley & McCloy LLP
  • United Kingdom
  • June 13 2017

The prospect that a corporate which is the subject of a criminal investigation in the UK may have to disclose certain internal investigation

Key Regulatory Topics: Weekly Update - 26 May 2017 - 1 June 2017
  • Allen & Overy LLP
  • European Union, United Kingdom, USA
  • June 2 2017

On 31 May, ESMA published an opinion (ESMA42-110-433) on general principles to support supervisory convergence in the context of the UK withdrawing

PSC changes - AIM companies to be caught and new 14 day reporting
  • Berwin Leighton Paisner LLP
  • United Kingdom
  • June 6 2017

From 26 June 2017, the PSC regime is being extended and tightened to require UK companies on AIM (and other prescribed markets) to keep a register of

Wall crossings and insider dealing Financial Services Authority levies the second highest ever fine against Greenlight Capital hedge fund trader David Einhorn
  • Hogan Lovells
  • United Kingdom
  • February 1 2012

On 12 January 2012, the Financial Services Authority ("FSA") levied its second highest ever fine of £3,638,000 against US hedge fund trader David Einhorn and a fine of £3,650,795 against Greenlight Capital Inc for market abuse

Corporate News - June 2017
  • Addleshaw Goddard LLP
  • European Union, United Kingdom
  • June 6 2017

The Institute of Chartered Accountants in England and Wales and the Institute of Chartered Accountants of Scotland has published TECH 0217, which

EU27 Regulators Ordered to Hold Firm Line on UK Firms’ Post-Brexit Applications for Single Market Access
  • Skadden Arps Slate Meagher & Flom LLP
  • European Union, United Kingdom
  • June 7 2017

One likely impact of the decision of the United Kingdom (UK) to leave the European Union (EU) is that the UK’s financial services industry will lose