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Electronic discovery & information governance - tip of the month: strategies for the preservation and production of audio recordings
  • Mayer Brown LLP
  • USA
  • April 30 2015

A large financial institution that is a major participant in the swaps market instituted an audio Data Retention policy to conform with newly enacted

European Securities and Markets Authority Consults on Revised Standards for Data Access under EMIR
  • Shearman & Sterling LLP
  • European Union
  • December 16 2015

On December 11, 2015, ESMA launched a consultation on revised RTS on data access and operational standards for comparison and aggregation of data

National Futures Association proposes cybersecurity guidance for NFA Member firms
  • Morgan Lewis & Bockius LLP
  • USA
  • September 8 2015

The National Futures Association (NFA) has proposed cybersecurity requirements that, if adopted, will apply to firms that are NFA Membersa category

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

SEC investigation into illegal use of swaps in trading of private technology shares
  • Herbert Smith Freehills LLP
  • USA
  • July 6 2015

The SEC is understood to have subpoenaed a number of firms in connection with an investigation into the sale of private pre-IPO technology stocks

Investment management legal regulatory update - February 2015
  • Morrison & Foerster LLP
  • USA
  • February 26 2015

On February 9, 2015, the Securities and Exchange Commission (SEC) proposed amendments to its rules to implement Section 955 of the Dodd-Frank Wall

NFA Developments - December 2015
  • Baker & McKenzie
  • USA
  • December 16 2015

The CFTC has adopted a final rule which will require virtually all IBs, CTAs and CPOs to become members of a registered futures association. The NFA

SEC and CFTC adopt identity theft red flags rules
  • Ropes & Gray LLP
  • USA
  • May 31 2013

The SEC and the CFTC jointly issued final Red Flags Rules on April 10, 2013. While the Red Flags Rules issued by the SEC and the CFTC are largely

CFTC issues GLBA security guidelines
  • Hogan Lovells
  • USA
  • March 13 2014

The Commodity Futures Trading Commission (CFTC) has issued guidance for CFTC-regulated financial institutions on compliance with the security

The new identity theft red flags rules - get ready!
  • Day Pitney LLP
  • USA
  • May 10 2013

In our April 15 Alert, we discussed the Securities and Exchange Commission's and the Commodity Futures Trading Commission's new rules requiring