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The SEC and Securities Plaintiffs' Bar Take Aim at Initial Coin Offerings
  • Baker & Hostetler LLP
  • USA
  • December 26 2017

These days it seems that everybody is considering getting into the distributed ledger technology business causing the United States Securities and

Broader employee incentive scheme relief for trustees and financial advisers
  • Gilbert + Tobin
  • Australia
  • December 18 2017

ASIC Corporations (Amendment) Instrument 20171049 has amended ASIC Class Order CO 141000 to provide certain disclosure, advertising, registration

SEC’s Regulatory Agenda Revealed
  • Morrison & Foerster LLP
  • USA
  • December 18 2017

The Securities and Exchange Commission (SEC) published an update to its regulatory agenda for the year on December 14, 2017, as part of a broad

SEC Announces Cease-and-Desist Order Against Couple And Their Respective Hedge Funds Over Sharing Of Confidential Strategies From Another Fund
  • Shearman & Sterling LLP
  • USA
  • December 12 2017

On December 5, 2017, the Securities and Exchange Commission (“SEC”) filed an administrative proceeding against Paritosh Gupta (“Gupta”), his hedge

New OSC Research Finds Millennials Are Not Big Investors
  • Babin Bessner Spry LLP
  • Canada
  • December 11 2017

The Ontario Securities Commission (“OSC”) recently released a research study on the investment habits of millennials, entitled “Missing Out:

Chair Clayton's Impact at the SEC
  • Baker & Hostetler LLP
  • USA
  • December 5 2017

On October 25, 2017, the Hedge Fund Industry Practice team hosted an event at the New York Yacht Club titled "Chair Clayton's Impact at the SEC."

SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European Union’s MiFID II
  • Vedder Price PC
  • USA
  • November 28 2017

On October 26, 2017, the staff of the SEC, following consultation with European authorities, issued three no-action letters to provide guidance to

How to ‘Insure’ Victory - Bringing Claims Against Insurers with Insolvency Exclusions
  • Charles Russell Speechlys LLP
  • United Kingdom
  • November 28 2017

This case involved a claim in respect of negligent investment advice brought directly against the insurer of an insolvent financial adviser, pursuant

2017 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds
  • Proskauer Rose LLP
  • USA, United Kingdom, Central & South America, China, Hong Kong
  • November 17 2017

The following annual review and outlook (Annual Review) is a summary of some of the significant changes and developments that occurred in the past

FCA Publishes Speech on Robo Advice
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • November 10 2017

On November 3, the UK Financial Conduct Authority (FCA) published a speech by Bob Ferguson, FCA Head of Department, Strategy Competition Division