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Herbert Smith Freehills LLP | Hong Kong | 24 May 2019

Disclosure of internal investigations - the Hong Kong SFC’s FAQs fail to relieve industry concerns

The Hong Kong Securities and Futures Commission (SFC) has released frequently-asked questions (FAQs) to clarify its Internal Investigation Disclosure


Macfarlanes LLP | Global | 6 Mar 2019

BCBSIOSCO gives guidance on the documentation and operational burdens of regulatory initial margin

Yesterday, the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO) gave welcome


Winston & Strawn LLP | USA, European Union | 4 Feb 2019

Financial Services Update, Vol. 14, Issue 5

The Financial Industry Regulatory Authority, Inc. (FINRA) recently issued its annual, but renamed, Risk Monitoring and Examination Priorities Letter


Winston & Strawn LLP | USA, United Kingdom | 28 Jan 2019

Financial Services Update, Vol. 14, Issue 4

Last week, the Pennsylvania Department of Banking and Securities (“DoBS”) released guidance (“Guidance”) on the applicability of Pennsylvania’s Money


Shearman & Sterling LLP | USA | 8 Jan 2019

Supreme Court Will Hear Case Raising Whether A Private Action May Be Brought For Alleged Misrepresentations In Connection With A Tender Offer Under Section 14(e) Of The Exchange Act, Based Only On A Showing Of Negligence, Not Scienter

On January 4, 2019, the United States Supreme Court granted a petition for writ of certiorari concerning whether Section 14(e) of the Securities


Morgan Lewis | USA | 19 Dec 2018

Here We Go Again, Again: SEC Extends AML Relief for Certain Broker-Dealer Requirements

Two years ago, we wondered in our blog post whether the staff of the US Securities and Exchange Commission (SEC) would have to further extend


Katten Muchin Rosenman LLP | USA | 16 Dec 2018

Authority of Broker-Dealers to Rely on Investment Advisers for Their Own CIP Obligations Extended by SEC

The Division of Trading and Markets of the Securities and Exchange Commission extended the authority of broker-dealers to rely on investment advisers


Bressler, Amery & Ross PC | USA | 29 Nov 2018

Adoption Of Uniform Fiduciary Standard Debated At Two Public Hearings Held By The New Jersey Bureau Of Securities

Daniel S. Strashun Related Services Insurance Securities Regulatory Defense and Compliance Following the October 15, 2018 issuance of a Notice of


Winston & Strawn LLP | USA | 5 Nov 2018

Financial Services Update, Vol. 13, Issue 41

On October 31, 2018, the U.S. Commodity Futures Trading Commission (“CFTC”) Office of the Chief Economist (“OCE”) issued a report highlighting the


Sidley Austin LLP | USA | 29 Oct 2018

SEC Issues Landmark Order Rejecting Nasdaq and NYSE Arca Market Data Fee Increases

On October 16, 2018, the five SEC Commissioners unanimously upheld the Securities Industry and Financial Markets Association’s (SIFMA) challenge to

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