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592 results found

Article

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

Article

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

Article

Winston & Strawn LLP | USA, United Kingdom, European Union | 7 Jan 2019

Financial Services Update, Vol. 14, Issue 1

Unquestionably, 2019 is set to be an exceptional year, especially in the field of financial services. The United Kingdom submitted on 29 March 2017

Article

Sidley Austin LLP | USA | 22 Oct 2018

Energy Enforcement Update

On September 28, the CFTC announced that it was creating the Insider Trading & Information Protection Task Force, a coordinated effort across the

Article

Jones Day | USA | 15 Oct 2018

CFTC Announces Insider Trading Task Force and New Insider Trading Case

The Commodity Futures Trading Commission ("CFTC") filed a complaint on September 28, 2018, in the U.S. District Court for the Southern District of New

Article

Sullivan & Cromwell LLP | USA | 12 Oct 2018

CFTC Continues Enforcement Focus, Forms Insider Trading Task Force

In recent actions, the U.S. Commodity Futures Trading Commission (the “CFTC”) has continued to pursue cases alleging market manipulation and attempted

Article

Shearman & Sterling LLP | USA | 9 Oct 2018

CFTC Brings New Insider Trading Case In Conjunction With Announcing Insider Trading Task Force

On September 28, 2018, the Commodity Futures Trading Commission (“CFTC”) filed a civil enforcement action in the Southern District of New York against

Article

Schulte Roth & Zabel LLP | USA | 29 Sep 2018

CFTC Insider Trading Enforcement Efforts Increase: Implications for Private Fund Managers

On Sept. 28, 2018, the Commodity Futures Trading Commission (“CFTC”) filed a civil enforcement action against EOX Holdings LLC, an introducing broker

Article

Katten Muchin Rosenman LLP | USA | 27 Aug 2017

Former Portfolio Manager’s Conviction for Insider Trading Upheld by Federal Appeals Court Despite Same Court’s Prior Contrary Reasoning

A former portfolio manager’s conviction for insider trading was upheld by a federal appeals court, which in so ruling, admittedly stepped back from

Article

Katten Muchin Rosenman LLP | USA | 21 May 2017

Hedge Fund Icon Settles SEC Insider Trading Allegations

Hedge fund icon Leon Cooperman and his firm, Omega Advisors, a registered investment adviser, agreed to resolve charges by the Securities and

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