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Bridging the Weeks by Gary DeWaal: November 23 - December 4 and 7, 2015 (Insider Trading in Futures; Newer, Tougher AML Requirements; New CCO Obligations; Possible Bitcoin Fraud)
  • Katten Muchin Rosenman LLP
  • Canada, European Union, Global, USA
  • December 6 2015

Compliance officers may be in the bullseye again as a result of new regulatory proposals introduced during the prior two weeks by the New York State


CFTC registers ICE Futures Canada and Montreal Exchange as FBOTs
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • August 28 2015

The Commodity Futures Trading Commission has issued orders granting foreign board of trade (FBOT) registration to ICE Futures Canada, Inc. and


Issuers quoted in the U.S. over-the-counter markets
  • Gowling Lafleur Henderson LLP
  • Canada, USA
  • August 27 2015

On August 25, 2015, the participating provinces and territory in the Cooperative Capital Markets Regulatory System achieved an important milestone


The financial report December 11, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • December 11 2014

In what may be viewed as a watershed event in insider trading jurisprudence, the Second Circuit unanimously struck down the convictions of Todd


The financial report October 2, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • October 7 2014

The US North American Securities Administrators Association published its annual enforcement survey. It noted a significant increase in the amount of


The financial report April 17, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • April 17 2014

The D.C. Circuit Court of Appeals has ruled that the reporting requirement under Dodd-Frank, which requires that an issuer describe its products as


The financial report April 3, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • April 3 2014

In a speech at the Securities Industry and Financial Markets Association Compliance & Legal Society Annual Seminar, SEC Chair Mary Jo White discussed


The financial report March 20, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • March 20 2014

The US Department of Labor published for comment a proposal that would require pension plan service providers to furnish pension plan fiduciaries


The financial report January 23, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • January 23 2014

Five US financial regulators (the Federal Reserve Board, FDIC, OCC, CFTC and SEC) published an interim final rule that will allow banks to retain


The financial report January 9, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • January 9 2014

The Federal Reserve Board, FDIC, OCC, and SEC announced a review of whether it would be appropriate and consistent with the Dodd-Frank Act to exempt