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Results: 1-10 of 1,076

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


After the U.S. Presidential and Congressional Elections, What's Next for Financial Services Regulation?
  • Jones Day
  • USA
  • November 29 2016

The presidential and congressional elections of 2016 have resulted in the election of Donald J. Trump as the 45th U.S. President and Republican


The Trump Administration’s Impact on Financial Regulation and the SEC
  • Hunton & Williams LLP
  • USA
  • November 23 2016

November 23, 2016 The Trump Administration's Impact on Financial Regulation and the SEC by Shaswat K. Das and Samuel Wolff Published in Law360 With


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


2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds
  • Proskauer Rose LLP
  • European Union, Hong Kong, Ireland, OECD, United Kingdom, USA
  • November 15 2016

On March 10, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released a


2016 U.S. Presidential and Congressional Elections
  • Sullivan & Cromwell LLP
  • USA
  • November 15 2016

The Republican Party emerged from last week's elections having won control of the White House and retained slightly reduced majorities in both


Election Results 2016: Preliminary Considerations for the Financial Services Industry
  • Sidley Austin LLP
  • USA
  • November 11 2016

We wanted to flag some key preliminary matters that could be of interest to the financial services industry from the


Give a Little WhistleSEC Whistleblower Program Update
  • Manatt Phelps & Phillips LLP
  • Ireland, USA
  • November 1 2016

On September 14, 2016, SEC Director of Enforcement Andrew Ceresney gave what in effect amounted to a “state of the union” speech about the SEC’s


FINRA Announces Review of Cross-Selling by Broker-Dealers of Affiliated Bank and Other Products; SEC Announces Review of IAs and BDs Compliance With Whistle-Blower Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • October 30 2016

The Financial Industry Regulatory Authority announced that it was conducting an industry-wide inquiry to review cross-selling programs at


Doing business in Canada - October 2016
  • Aird & Berlis LLP
  • Canada, OECD, USA
  • October 17 2016

Doing Business in Canada OCTOBER 2016 Global Experience, Canadian ExpertiseTM airdberlis.com Doing Business in Canada OCTOBER 2016 We are committed to