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Results: 1-10 of 1,249

Osler’s insights on key developments in 2014 and their implications for Canadian business.
  • Osler Hoskin & Harcourt LLP
  • Canada
  • December 9 2014

Four securities regulatory developments in 2014 warrant special attention:The Canadian Securities Administrators (CSA) proposed a new “permitted bid”


Best practices for Gramm-Leach-Bliley Compliance
  • Jackson Lewis PC
  • USA
  • March 8 2014

The U.S. Commodity Futures Trading Commission (Commission) issued a Staff Advisory on best practices for financial institutions that must comply with


Financial services regulation - Europe - 25 April 2014
  • DLA Piper LLP
  • United Kingdom, European Union
  • April 25 2014

EU law permits national courts to refer questions on the interpretation of EU legislation to the European Court of Justice (“ECJ”). In a digital


Federal agencies propose health IT regulatory framework, seek stakeholder input and participation in new initiatives
  • DLA Piper LLP
  • USA
  • April 10 2014

A little more than five years after the passage of the Health Information Technology Economic and Clinical Health (HITECH) Act, the Food and Drug


Cftc and sec propose new identity theft red flags rules
  • Dorsey & Whitney LLP
  • USA
  • May 1 2012

Pursuant to the Fair and Accurate Credit Transactions Act of 2003, a number of federal agencies in 2007 issued joint final identity theft rules and guidelines pertaining to the detection, prevention, and mitigation of identity theft for certain entities subject to the agencies’ enforcement authority


Financial services update, vol. 11, issue 1
  • Winston & Strawn LLP
  • USA
  • January 11 2016

On December 30, 2015, the U. S. District Court for the Central District of California denied a motion for judgment on the pleadings filed by CashCall


The Financial Report March 24, 2016 - US Exchanges and Self-Regulatory Organizations
  • DLA Piper LLP
  • USA
  • March 24 2016

The Financial Industry Regulatory Authority released a report that outlines the regulatory principles and best practices for digital advice services


Investment management legal regulatory update - November 2015
  • Morrison & Foerster LLP
  • USA
  • November 17 2015

In a Risk Alert dated November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) said it found that outsourced compliance


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


CFTC Proposes Cybersecurity Testing
  • Steptoe & Johnson LLP
  • USA
  • January 9 2016

Last month, the Commodity Futures Trading Commission (CFTC) approved for publication two proposed rules to amend existing regulations addressing