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Results: 1-10 of 876

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


OSC Announces Launch Date for its Whistleblower Program
  • Osler Hoskin & Harcourt LLP
  • Canada, Ireland, USA
  • June 20 2016

In a much-anticipated announcement, the Ontario Securities Commission said on June 16th that it will officially launch its rewards-based


The Fiduciary Monitor - Quarterly Regulatory and Litigation Updates
  • Holland & Knight LLP
  • USA
  • June 20 2016

The Office of the Comptroller of the Currency (OCC) issued an update to its Policies and Procedures Manual for the assessment of civil monetary


Flurry of Financial Services Activity as Legislative Days Fly By; SEC, CFTC Move Ahead with Regulatory Priorities
  • Squire Patton Boggs
  • USA
  • June 20 2016

This week, the House is expected to consider the FY 2017 Financial Services and General Government Appropriations Act, which passed out of Committee


Hensarling to Release Dodd-Frank Replacement as House to Vote on Puerto Rico Bill; CFPB, Federal Reserve Propose Long-Awaited Rulemakings
  • Squire Patton Boggs
  • USA
  • June 6 2016

House Financial Services Committee Chairman Jeb Hensarling (R-TX) is set to unveil details about the Republican plan to replace the Dodd-Frank Wall


The Brave New Fiduciary World Has Arrived - The DOL Tries to Find a More Ideal Balance in the Final “Investment Advice” Rules
  • Dechert LLP
  • USA
  • May 26 2016

The U.S. Department of Labor (the "DOL") on April 6, 2016 released the final version of its "investment advice" regulation and accompanying


SEC To Award More Than US $5 Million to Whistleblower
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

An unnamed whistleblower will receive an award of between US $5 and $6 million because of information voluntarily provided to the Securities and


The DOL Issues Broader Fiduciary Adviser Definition: What Does it Mean for You?
  • Greenberg Traurig LLP
  • USA
  • May 19 2016

Since the enactment of ERISA in 1974, there has been a dramatic shift in the retirement savings marketplace from employer-sponsored defined benefit