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1,797 results found

Article

Addleshaw Goddard LLP | United Kingdom | 28 Jul 2020

Application for identity of market participants refused

The Applicant is a litigation funder whose shares are traded on AIM, a market operated by LSE. Over the course of 6 and 7 August 2019, and following…
Article

Proskauer Rose LLP | USA | 30 Mar 2019

U.S. House Continues to Explore Blockchain Regulation

Following up on their recent introduction of the Token Taxonomy Act, Representatives Darren Soto (D-FL) and Warren Davidson (R-OH) have teamed up…
Article

Bergeson & Campbell PC | USA | 22 Mar 2019

EPA Announces Public Hearing On Modifications To RFS RIN Market Regulations

On March 18, 2019, (EPA) announced a public hearing to be held for the proposed rule: "Modifications to Fuel Registrations to Provide Flexibility for…
Article

Wilmer Cutler Pickering Hale and Dorr LLP | USA | 21 Mar 2019

Energy Market Manipulation Remains a Hot Issue at FERC

Since the passage of the Energy Policy Act of 2005, fraud and market manipulation have been top enforcement priorities of the Federal Energy…
Article

King & Spalding LLP | USA | 22 Feb 2019

Novel Concerns in FINRA's 2019 Risk Monitoring and Examination Priorities Letter

On January 22, 2019, FINRA released its 2019 Annual Risk Monitoring and Examination Priorities Letter (the “Priorities Letter”). Late last year, as…
Article

K&L Gates LLP | USA | 4 Feb 2019

In 2019, FINRA’s Evolution Includes Staying the Course and Focusing on Emerging Issues

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

Sheppard Mullin Richter & Hampton LLP | USA | 30 Jan 2019

FINRA announces 2019 regulatory priorities

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

Winston & Strawn LLP | USA | 29 Jan 2019

FINRA’s 2019 Risk Monitoring and Examination Priorities Letter

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

Mintz | USA | 14 Jan 2019

ML Strategies Health Care Preview - 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…
Article

CMS Cameron McKenna Nabarro Olswang LLP | Denmark, European Union, Spain, etc. | 21 Dec 2018

REMIT Update: More fines imposed under REMIT

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