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Results: 1-10 of 507

Cybersecurity for Private Equity and Hedge Fund Managers
  • McGuireWoods LLP
  • USA
  • July 20 2017

Managing money and finding alpha is never easy. In addition to tough trading and market conditions, fund managers must also address cybersecurity


Treasury Department Recommends Broad Reforms to CFPB
  • McGuireWoods LLP
  • USA
  • July 6 2017

The Department of the Treasury recently cited the CFPB’s “unaccountable structure and unduly broad regulatory powers,” in suggesting reforms to


DOL Asks Public for More Input on Fiduciary Rule and Exemptions
  • McGuireWoods LLP
  • USA
  • July 5 2017

Last week, the Department of Labor (DOL) issued a request for information (RFI) in the form of 18 questions regarding its fiduciary rule and related


Proposed Rules Aimed at High-Risk Brokers Confirm FINRA Push for Firms to “Do Their Part”
  • McGuireWoods LLP
  • USA
  • June 23 2017

Financial Industry Regulatory Authority (FINRA) President and CEO Robert Cook spoke earlier this month at Georgetown University’s McDonough School of


U.S. Supreme Court Indirectly Limits Important Component of DOJ’s FCPA Pilot Program
  • McGuireWoods LLP
  • USA
  • June 7 2017

On June 5, 2017, the U.S. Supreme Court unanimously held in Kokesh v. Securities and Exchange Commission, No. 16-529, that the SEC may not reach


U.S. Supreme Court Rules Time Limits Apply to SEC Disgorgement Orders
  • McGuireWoods LLP
  • USA
  • June 6 2017

A unanimous United States Supreme Court held Monday, in Kokesh v. Securities and Exchange Commission, that the five-year statute of limitations under


SEC Issues Guidance in Wake of WannaCry Ransomware Attack
  • McGuireWoods LLP
  • USA
  • June 1 2017

On Friday, May 12, the WannaCry ransomware attack struck hundreds of thousands of users across the globe, causing major disruptions in private and


FINRA President and CEO Robert Cook discusses FINRA360 and Consolidating Enforcement Divisions
  • McGuireWoods LLP
  • USA
  • May 30 2017

On May 17, 2017, at the annual FINRA conference in Washington D.C., FINRA President and CEO Robert Cook discussed the recently-launched FINRA360


No Delay of DOL Fiduciary Rule’s June 9 Applicability Date; Additional Guidance Issued
  • McGuireWoods LLP
  • USA
  • May 24 2017

Earlier this week, Secretary of Labor Alexander Acosta indicated in a Wall Street Journal op-ed article that there will be no further delay as to the


Proposed Securities Rule Changes Focus on Bank Loans, Other Private Placements
  • McGuireWoods LLP
  • USA
  • March 30 2017

On March 1, 2017, the Securities and Exchange Commission (SEC) proposed amendments to Rule 15c2-12 under the Securities Exchange Act of 1934 that