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534 results found

Article

White & Case LLP | USA | 29 Mar 2019

The Delta Report - Derivatives Newsletter: March 2019

BMR continues to develop its impact in the different industry sectors that rely on benchmarks, e.g., derivatives, capital markets, banking, etc., as

Article

Macfarlanes LLP | USA, United Kingdom, European Union | 7 Mar 2019

Brexit update: cross-country recognition of derivative trading and infrastructure

On a departure of the United Kingdom from the European Union on 29 March 2019 without a transition agreement (a hard Brexit), UK entities would

Article

Winston & Strawn LLP | USA, United Kingdom | 28 Jan 2019

Financial Services Update, Vol. 14, Issue 4

Last week, the Pennsylvania Department of Banking and Securities (“DoBS”) released guidance (“Guidance”) on the applicability of Pennsylvania’s Money

Article

Greenberg Traurig LLP | USA | 3 Jan 2019

The Financial Conduct Authority - Part 1 - Market Manipulation

The term ‘market manipulation’ is a broad one which can mean a number of things. In this GT Advisory, we consider how market manipulation is

Article

Winston & Strawn LLP | USA | 10 Sep 2018

Financial Services Update, Vol. 13, Issue 33

It is estimated that more than $370 trillion worth of bonds, loans, derivatives and other instruments are linked to LIBOR or another interbank

Article

Control Risks | USA, United Kingdom | 22 Jun 2018

How much for blowing the whistle?

How much for blowing the whistle? Blowing the whistle on corporate misconduct can be a lucrative business. In the US, whistleblowers are routinely

Article

Venable LLP | USA, United Kingdom | 17 May 2018

Investigation and White Collar Defense

Last week, the UK's Financial Conduct Authority (FCA) announced its third largest fine ever levied on an individual when it fined Jes Staley, the CEO

Article

Katten Muchin Rosenman LLP | USA | 13 May 2018

UK Bank Head Sanctioned Over US $1.5 Million Equivalent by Regulators and Employer for Potentially Undercutting Firm’s Whistleblower Process

James Staley, chief executive officer of Barclays Group, agreed to pay a fine of GB £642,430 (approximately US $870,000) to the United Kingdom's

Article

Shearman & Sterling LLP | USA, United Kingdom, European Union, etc. | 18 Apr 2018

Governance & Securities Law Focus: Europe Edition, April 2018

On 16 January 2018, the European Securities and Markets Authority (ESMA) published an updated version of its practical guide to the national rules

Article

Stikeman Elliott LLP | Canada, European Union | 17 Jan 2018

ACVM : les plateformes de négociation de l’UE qui ont des participants canadiens sont assujetties aux règles canadiennes (à moins d’une dispense)

Les Autorités canadiennes en valeurs mobilières (ACVM) ont publié un Avis du personnel dans lequel il est recommandé aux plateformes de négociation

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