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4,324 results found

Article

Winston & Strawn LLP | USA, European Union | 15 Jul 2019

Financial Services Update, Vol. 14, Issue 26

In preparation for the September 10, 2019, effective date of the Securities and Exchange Commission’s (“SEC”) Regulation Best Interest

Article

Paul Hastings LLP | USA, Global | 15 Jul 2019

PH Money Matters: This Week in Washington - July 15, 2019

Labor Secretary Alex Acosta resigned his position on Friday, after media reports led to increased scrutiny of a plea deal he struck

Article

Katten Muchin Rosenman LLP | USA | 12 Jul 2019

CFTC and SEC Propose Changes to Margin Requirements for Security Futures

The Commodity Futures Trading Commission and the Securities and Exchange Commission have jointly proposed amendments to the minimum customer margin

Article

Stinson LLP | USA | 10 Jul 2019

Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule

Five federal financial regulatory agencies adopted a final rule to exclude community banks from the Volcker Rule, consistent with the Economic Growth

Article

Macfarlanes LLP | USA, United Kingdom, European Union | 10 Jul 2019

Investment Management Update

The Financial Conduct Authority (FCA) has confirmed that it is recognising the FX Global Code and the UK Money Markets Code, the first such codes to

Article

Morvillo Abramowitz Grand Iason & Anello PC | USA | 10 Jul 2019

Judicial Review of Claims of Government Misconduct in Parallel Investigations

Defending an individual who is the subject of parallel civil and criminal investigations is one of the more challenging aspects of white-collar

Article

Allen & Overy LLP | USA, United Kingdom, European Union | 5 Jul 2019

Key Regulatory Topics: Weekly Update 21 June 2019 - 27 June 2019

On 25 June, the ECB published dinner remarks from Benoît Cœuré, Member of the Executive Board of the ECB, at the International Swaps and Derivatives

Article

Paul Hastings LLP | USA, United Kingdom, European Union | 1 Jul 2019

PH Money Matters: This Week in Washington - July 1, 2019

The Supreme Court released a series of high profile decisions last week, closing out their current term. Chief Justice John Roberts

Article

Winston & Strawn LLP | USA | 1 Jul 2019

Financial Services Update, Vol. 14, Issue 25

On June 21, 2019, the Financial Action Task Force (the “FATF”) issued written “Guidance for a Risk-based Approach to Virtual Assets and Virtual Asset

Article

Katten Muchin Rosenman LLP | USA | 28 Jun 2019

SEC adopts additional rules for security-based swaps

On June 21, the Securities and Exchange Commission adopted a panoply of final rules dealing with the following aspects of the regulation of

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