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Results: 1-10 of 911

SEC Finds Certain Separation Agreement Provisions Unlawful Under Dodd-Frank Whistleblower Rule
  • Epstein Becker Green
  • USA
  • August 18 2016

Twice in the past two weeks, the Securities and Exchange Commission ("SEC" or "Commission") issued a cease-and-desist order settling proceedings


Investment Management Legal Regulatory Update - August 2016
  • Morrison & Foerster LLP
  • USA
  • August 16 2016

First, the SEC required funds to designate a Chief Compliance Officer. Then, the SEC proposed that funds designate a liquidity risk manager and


Retroactive Civil Penalty Increases?
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • August 10 2016

Over the past several months, many federal agencies have adopted rules significantly increasing the maximum civil monetary penalties (CMPs) they can


Investment Bank Fined US $36.3 Million by Federal Reserve Bank in Response to Its Own Staff’s Leakage of Nonpublic Information to Ex-Employee
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2016

Goldman Sachs agreed to pay a fine of US $36.3 million to resolve charges brought by the Board of Governors of the Federal Reserve System (FRB) that


Tax Talk - Volume 9, No. 2, August 2016
  • Morrison & Foerster LLP
  • USA
  • August 5 2016

On April 4, 2016, the Treasury Department issued proposed regulations under Section 385 (the “Proposed Regulations”) which could dramatically change


2016 Mid-Year Securities Litigation and Enforcement Highlights
  • Baker & Hostetler LLP
  • Ireland, USA
  • July 29 2016

Welcome to the 2016 Mid-Year Report From the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide


Dodd-Frank News: July 2016 Dodd Frank Wall Street Reform and Consumer Protection Act Update
  • Burr & Forman LLP
  • USA
  • July 28 2016

The Dodd-Frank Wall Street Reform and Consumer Protection Act was enacted as a measure to promote financial stability and protection for


Financial Services Update, vol. 11, no. 26
  • Winston & Strawn LLP
  • USA
  • July 19 2016

On July 13, 2016, the Securities and Exchange Commission (“SEC”) adopted recent amendments to update its rules regarding administrative proceedings


Computer Coding Error Results in Broker-Dealer Blue Sheets’ Errors Over 15 Years and US $7 Million SEC Fine
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Citigroup Global Markets Inc. agreed to pay a US $7 million fine to the Securities and Exchange Commission to resolve charges that, from 1999 through


Private Fund ReportSummary of Key DevelopmentsSpring 2016
  • Paul Hastings LLP
  • European Union, United Kingdom, USA
  • July 14 2016

This continues to be a time of rapid change for the private fund industry, as the Securities and Exchange Commission (the "SEC"), the Commodity