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Relaxation of the Minimum Paid-Up Capital Requirements for Securities and Derivatives Operators
  • Baker McKenzie
  • USA
  • October 18 2017

In August 2017 the Thai SEC issued a hearing paper on the reduction of minimum paid-up capital requirements for securities and derivatives operators

This Week in Washington for October 16, 2017
  • Paul Hastings LLP
  • USA
  • October 16 2017

Since Congress hasn’t had the votes to overturn the Affordable Care Act (Obamacare), the President is taking Executive action. It was reported on

CSA Releases Oversight Review Report of the MFDA
  • McMillan LLP
  • Canada
  • October 13 2017

On September 15, 2017, the Canadian Securities Administrators (“CSA”) published the Oversight Review Report of the Mutual Fund Dealers Association of

Treasury Report, Part II: Regulation of the Capital Markets
  • Morrison & Foerster LLP
  • USA
  • October 10 2017

The U.S. Department of the Treasury ("Treasury Department" or "Treasury") issued its second report (of four reports), titled "A Financial System that

SEC Enforcement's New Leadership and (Likely) Priorities
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • October 10 2017

Fund board directors may be wondering what to expect from the new leaders of the Securities and Exchange Commission. A new chairman has been appointed

SEC Chairman Clayton Addresses Senate Committee
  • Morrison & Foerster LLP
  • USA
  • October 2 2017

On September 26, 2017, SEC Chairman Jay Clayton delivered to the U.S. Senate Committee on Banking, Housing and Urban Affairs his first testimony as

Securities and Enforcement Update
  • McGuireWoods LLP
  • USA
  • September 29 2017

On Sept. 26, 2017, Securities and Exchange Commission Chairman Jay Clayton testified before the Senate Committee on Banking, Housing and Urban Affairs

Marketing Foreign Funds into the UAE: Update
  • Al Tamimi & Company - Advocates and Legal Consultants
  • United Arab Emirates
  • September 29 2017

Since our September 2016 update on the new UAE fund regulations (Chairman Resolution No. (9) R.M. Of 2016 Concerning the Regulation on Mutual Funds

Advisers Must Offer Investors the Lowest-Fee Share Class Available
  • Thompson Hine LLP
  • USA
  • September 25 2017

The U.S. Securities and Exchange Commission (SEC) issued a cease-and-desist order (“Order”) to Envoy Advisory, Inc. (“Envoy”), a registered investment

在以色列 做生意 法律以及 商业指南
  • Nishlis Legal Marketing
  • China, European Union, Israel, USA
  • September 11 2017