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In 2019, FINRA’s Evolution Includes Staying the Course and Focusing on Emerging Issues
  • K&L Gates
  • USA
  • February 4 2019

On January 22nd, the Financial Industry Regulatory Authority (FINRA) issued its newly titled “Risk Monitoring and Examination Priorities


FINRA announces 2019 regulatory priorities
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • January 30 2019

On January 22, 2019, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its annual priorities letter highlighting its regulatory


FINRA’s 2019 Risk Monitoring and Examination Priorities Letter
  • Winston & Strawn LLP
  • USA
  • January 29 2019

On January 22, the Financial Industry Regulatory Authority, Inc. (FINRA) released its annual, but renamed, Risk Monitoring and Examination Priorities


ML Strategies Health Care Preview - January 14, 2019
  • Mintz
  • USA
  • January 14 2019

It's now the 24th day of the partial government shutdown and we have yet to see signs of a breakthrough. There doesn't seem to be much of any


REMIT Update: More fines imposed under REMIT
  • CMS Cameron McKenna Nabarro Olswang LLP
  • Spain, United Kingdom, Denmark, European Union
  • December 21 2018

National Regulatory Authorities (“NRA”) in the energy sector are significantly stepping up investigations and fines pursuant to the Regulation (EU) No


FCA finalised guidance on financial crime systems and controls: insider dealing and market manipulation
  • Macfarlanes LLP
  • United Kingdom
  • December 19 2018

Following feedback received from its guidance consultation, GC181, the FCA has published "Finalised Guidance on financial crime systems and controls:


Financial Services Update, Vol. 13, Issue 46
  • Winston & Strawn LLP
  • USA, European Union
  • December 18 2018

The Commodity Futures Trading Commission (“CFTC”) was dealt a major setback in a manipulation enforcement action, as the Southern District of New York


Due diligence, information and disclosure in M&A transactions in Greece
  • Karatzas & Partners Law Firm
  • Global, Greece
  • December 14 2018

A structured guide to due diligence, information and disclosure in M&A transactions in Greece...


Federal District Court Dismisses CFTC Price Manipulation Claims and Resets the Standard of Intent Debate
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • December 14 2018

Few price manipulation cases brought by the Commodity Futures Trading Commission (CFTC) ever go to trial. The CFTC case filed against the trading


Screaming into a Pit: CFTC Gets Empty Response to Market Manipulation Claims
  • Ropes & Gray LLP
  • USA
  • December 7 2018

In an opinion released on November 30, 2018, Federal Circuit Judge Richard Sullivan dismissed a lawsuit brought by the U.S. Commodity Futures Trading