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2017 Mid-Year Cross-Border Government Investigations and Regulatory Enforcement Review
  • Baker & Hostetler LLP
  • Canada, European Union, Hong Kong, Ireland, United Kingdom, USA
  • September 20 2017

Welcome to BakerHostetler’s semi-annual Cross-Border Government Investigations and Regulatory Enforcement Review, with this edition delivering news


Impact of Margin Regulations on Funds’ Foreign Currency Hedging Transactions
  • Mayer Brown LLP
  • USA
  • September 18 2017

Fund of hedge fund managers and their lending partners have developed products that allow the funds to utilize their liquidity facilities to ease


CSA Provide Guidance on Regulatory Approach to Cryptocurrency Offerings
  • Blake Cassels & Graydon LLP
  • Canada, USA
  • September 18 2017

The rise in popularity of cryptocurrencies and the spread of cryptocurrency offerings have attracted increased attention from securities regulators


OCIE Advises on Common Advertising Compliance Issues Identified During Investment Adviser Reviews:
  • Katten Muchin Rosenman LLP
  • USA
  • September 17 2017

The Office of Compliance Inspections and Examinations of the Securities and Exchange Commission issued guidance setting forth the most frequent


Spoofing Case Filed in Connecticut Against Overseas-Based Precious Metals Futures Trader
  • Katten Muchin Rosenman LLP
  • USA
  • September 17 2017

Last week, a criminal complaint was filed against Andre Flotron, a former precious metals trader for UBS Investment Bank (click here for background on


ESMA Publishes Further Guidance on Open Access Transitional Periods
  • Katten Muchin Rosenman LLP
  • USA
  • September 15 2017

The Markets in Financial Instruments Regulation (MiFIR) provides for a new "open access" regime between trading venues and central counterparties


The Financial Report, Vol. 6, No. 17
  • DLA Piper LLP
  • Australia, Canada, USA
  • September 15 2017

Earlier this week, an article appearing in The Wall Street Journal stated that state legislatures are moving to bolster investor protections due to


Newly Adopted Fed Rules Will Limit Buy-Side Remedies in a Financial Institution Failure
  • Ropes & Gray LLP
  • USA
  • September 13 2017

The Board of Governors of the Federal Reserve System (the “Board”) has adopted final rules that represent a significant shift in the terms of


Blockchain and Cryptocurrency: The Emerging Regulatory Framework
  • Steptoe & Johnson LLP
  • Canada, Hong Kong, USA
  • September 13 2017

This summer, US and international regulators have brought enforcement actions, issued guidance and explanatory documents, and sharpened


U.S. Futures Exchanges Disciplinary Actions Report - August 2017
  • Bracewell LLP
  • USA
  • September 12 2017

The Bracewell U.S. Futures Exchanges Disciplinary Actions Report is a monthly report that provides summaries of certain disciplinary notices by U.S