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Michael Best & Friedrich LLP | USA | 24 Nov 2021

Will the Gamestop Frenzy change the equity markets? SEC releases report on the market conditions of early 2021

Less than a year ago, in January 2021, GameStop Corp. - GME made national headlines when its stock price rose from under $19 on December 31, 2020 to…
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Kramer Levin Naftalis & Frankel LLP | USA | 13 Sep 2021

SEC Continues Focus on Cybersecurity in Three New Actions Targeting Investment Advisers and Broker Dealers

Demonstrating its continued focus on cybersecurity enforcement, the Securities and Exchange Commission (SEC) announced three new actions on Aug. 30…
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Lexology PRO | Belgium, European Union | 16 Jun 2021

EU blocks former bank cartelists from coronavirus bond issuances

The European Commission has banned ten banks – including Barclays and Deutsche Bank – from participating in certain bond sales to fund coronavirus recovery due to their previous cartel involvement.
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Lexology PRO | Asia-Pacific, Belgium, European Union, etc. | 28 May 2021

EU readopts ICAP cartel decision but cuts fine

The European Commission has readopted its decision against ICAP for its alleged role in a conspiracy to manipulate the market for yen interest rate derivatives but slashed the fine it imposed on the broker by €8 million.
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Jones Day | USA | 13 Apr 2021

SEC Continues Focus on AML Compliance Obligations

The Securities and Exchange Commission’s Division of Examinations ("EXAMS") released a Risk Alert on March 29, 2021, reminding broker-dealers of their…
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Jones Day | USA | 18 Mar 2021

SEC Issues 2021 Examination Priorities

The U.S. Securities and Exchange Commission's ("SEC") Division of Examinations (the "Division") issued its 2021 examination priorities ("2021 Exam…
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Schulte Roth & Zabel LLP | USA | 9 Mar 2021

SEC Brings Rare Regulation FD Enforcement Case — Implications for Private Fund Managers and Broker-Dealers

On March 5, 2021, the Securities and Exchange Commission charged AT&T with violating Regulation FD (“Reg FD”) for selectively disclosing material…
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Schulte Roth & Zabel LLP | USA | 7 Jan 2021

Passage of Anti-Money Laundering Act of 2020 Includes Comprehensive BSA/AML Reform Measures

On Dec. 31, 2020, as part of the National Defense Authorization Act (“NDAA”), Congress enacted the Anti-Money Laundering Act of 2020 (“AML Act”) and…
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Latham & Watkins LLP | USA | 5 Jan 2021

SEC Staff Issues No-Action Relief to Broker-Dealers From Reg BI and Form CRS Obligations Related to Certain Family Offices

The no-action relief applies to family offices with at least US$50 million in total assets (Institutional Family Offices) and requires broker-dealers…
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Skadden Arps Slate Meagher & Flom LLP | USA | 21 Dec 2020

Investment Management Retrospective: 2020’s Second Half

In this issue, we provide a summary retrospective of regulatory, litigation and industry developments impacting the investment management sector…
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