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DLA Piper | Asia-Pacific, Australia | 13 Jan 2017

The Financial Report, 13 January 2017, News from Asia and the Pacific

The FSA and the Bank of Japan, as well as the International Organization of Securities Commissions Asia-Pacific Regional Committee sent


Morgan Lewis | USA | 8 Nov 2011

Form PF will result in substantial reporting requirements for registered advisers to private funds

On October 26 and October 31, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC), respectively, approved rules that will require certain investment advisers to report extensive information to the SEC on Form PF about the private funds they advise.


Foley & Lardner LLP | USA | 29 Apr 2011

FERC Orders $30 Million Penalty

FERC recently issued an order affirming the initial decision of an administrative law judge and imposing a civil penalty of $30 million on Amaranth's lead trader, Brian Hunter, for his violation of FERC's anti-manipulation rules.


McDermott Will & Emery | European Union | 23 Sep 2010

EU financial reform

Recent EC proposals are likely to lead to the increased regulation of OTC derivatives markets in the European Union by the end of 2012.


Morgan Lewis | USA | 25 Jan 2010

FERC issues Initial Decision that former hedge fund trader violated market manipulation rule

On January 22, the Federal Energy Regulatory Commission (FERC) issued an Initial Decision determining that a former hedge fund trader violated FERC’s Anti-Manipulation Rule.


Dentons | USA, United Kingdom | 18 Sep 2009

FSA and CFTC agree new MoU

FSA and CFTC have signed a new MoU on supervision of cross-border clearing organisations.


Stikeman Elliott LLP | USA, United Kingdom | 17 Sep 2009

SEC and FSA discuss common approaches to regulatory issues

The U.S. Securities and Exchange Commission (SEC) and the U.K. Financial Services Authority (FSA) announced plans today "to explore common approaches to reporting and other regulatory requirements for key market participants such as hedge funds and their advisers."


Alston & Bird LLP | USA | 17 Jul 2009

House Committee on Financial Services on the Obama Administration’s financial regulatory reform proposals

Today, the House Committee on Financial Services held a hearing entitled "Industry Perspectives on the Obama Administration’s Financial Regulatory Reform Proposals" to discuss proposals for financial regulatory reform.


Katten Muchin Rosenman LLP | USA | 13 Feb 2009

Representative Peterson introduces the Derivatives Markets Transparency and Accountability Act of 2009

The House Agriculture Committee has approved an amended version of Chairman Collin Peterson’s Derivatives Markets Transparency and Accountability Act of 2009, H.R. 977.

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