We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results:1-10 of 389

Financial Servies Regulation - Issue 36 - September 2018
  • DLA Piper
  • European Union
  • September 26 2018

On 13 June 2018, the European Banking Authority (EBA) published an important opinion (Opinion) and a consultation paper (Consultation Paper) arising


SEC Proposes to Simplify Debt Offering Disclosures
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • September 4 2018

In July, the Securities and Exchange Commission (SEC) proposed amendments to streamline financial disclosure requirements for two categories of market


ESMA temporary product intervention measures
  • Morrison & Foerster LLP
  • United Kingdom
  • August 10 2018

As we previously reported in Volume 9, Issue 3, of Structured Thoughts6, the European Securities and Markets Authority (ESMA) took a decision to


SEC Adopts New Disclosure Regime for NMS Stock ATSs
  • Sidley Austin LLP
  • USA
  • August 1 2018

On July 18, the U.S. Securities and Exchange Commission (SEC) voted unanimously to adopt amendments to Regulation ATS1 that would require alternative


Investor Advocate Report
  • Mayer Brown
  • USA
  • July 11 2018

The Securities and Exchange Commission Office of Investor Advocate released its report on the objectives of the Office for Fiscal Year 2019. The


Chair Clayton’s Congressional Testimony
  • Mayer Brown
  • USA
  • June 25 2018

In his most recent testimony in Congress, the Securities and Exchange Commission Chair once again focused on retail investors. Chair Clayton cited a


SEC Proposes Interpretation of Standard of Conduct for Investment Advisers
  • Morgan Lewis
  • USA
  • June 14 2018

This LawFlash describes the key questions raised by the US Securities and Exchange Commission's new proposed interpretation of the standard of conduct


Financial Servies Update - Volume 13, NO.21 - June 4, 2018
  • Winston & Strawn LLP
  • USA
  • June 5 2018

While industry participants remain hopeful that the Securities and Exchange Commission ("SEC") and other U.S. regulatory bodies will provide more


SEC Proposes Standard of Conduct for Broker-Dealers and Interpretation Regarding Standard of Conduct for Investment Advisers
  • Sullivan & Cromwell LLP
  • USA
  • May 10 2018

On April 18, 2018, the Securities and Exchange Commission (“SEC”) voted 4 to 1 to approve a package of proposed rules and interpretations with the


Retail Client Confusion Regarding Broker-Dealers and Investment Advisers: Call Me by Your Name
  • Morrison & Foerster LLP
  • USA
  • May 3 2018

In a speech on May 2, 2018 regarding the SEC’s recent proposed broker-dealer standard of conduct, Jay Clayton, Chair of the Securities and Exchange