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Results: 1-10 of 56,061

Sessions’ Justice Department’s Pragmatic Approach to Corporate Accountability
  • Morvillo Abramowitz Grand Iason & Anello PC
  • USA
  • June 18 2018

Many of the administration's enforcement priorities may raise serious concerns for criminal defense lawyers and other champions of legal rights


Anything But Sleep Inducing: SEC Corporate Finance Director Says Ether Not a Security and Canada Issues Guidance on Utility Tokens
  • Katten Muchin Rosenman LLP
  • USA, Canada
  • June 17 2018

Last week, William Hinman, the Director of the Division of Corporate Finance of the Securities and Exchange Commission, said that the cryptoasset


Broker-Dealer Agrees to Pay Back Customers US $10.5 Million and Remit Fine of US $5.2 Million for Not Supervising Salespersons Who Purportedly Misled Customers Regarding Mortgage-Backed Securities Prices
  • Katten Muchin Rosenman LLP
  • USA
  • June 17 2018

Merrill Lynch, Pierce, Fenner & Smith Inc. agreed to pay a fine in excess of US $5.2 million and reimburse customers in excess of US $10.5 million to


FRC consultation on a Code of Conduct for large UK private companies
  • MinterEllison
  • USA
  • June 15 2018

Large private companies in the UK are being urged by the Financial Reporting Council (FRC) to engage in consultation on, and to sign up to, a new code


Volcker 2.0: Agencies Propose to Reduce Regulatory Burdens Imposed by the Volcker Regulations
  • Dechert LLP
  • USA
  • June 15 2018

After a long lead up, the five agencies (Agencies) with responsibility for the regulations that implement the Volcker Rule (Regulations) have issued a


ESMA Releases Latest Double Volume Cap Data Under MiFID II
  • Katten Muchin Rosenman LLP
  • USA
  • June 15 2018

On June 7, the European Securities and Markets Authority (ESMA) updated its public register with the latest set of double volume cap (DVC) data under


SEC Charges 13 Private Fund Advisers for Repeated Form PF Filing Failures
  • Katten Muchin Rosenman LLP
  • USA
  • June 15 2018

On June 1, the Securities and Exchange Commission announced settlements with 13 registered investment advisers who repeatedly failed to annually file


CME Group’s Recent Action Against Asset Manager Underscores the Importance of Prompt Responses to SRO Inquiries
  • Ropes & Gray LLP
  • USA
  • June 15 2018

The recent summary denial by the CME Group, Inc., the financial market company comprised of four exchanges, including CME, CBOT, NYMEX, and COMEX


SEC Releases Updates to Custody Rule Frequently Asked Questions
  • Katten Muchin Rosenman LLP
  • USA
  • June 15 2018

On June 5, the Securities and Exchange Commission’s Division of Investment Management staff (Staff) updated its “Staff Responses to Questions About


Top SEC Official Says Ethereum Not a Security, and Gives Long-Awaited Guidance to Coin Promoters
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • June 15 2018

Yesterday, a senior U.S. Securities and Exchange Commission (SEC) official announced that Ethereum will not be regulated as a security - at least not