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Article

Latham & Watkins LLP | USA | 28 Feb 2019

FINRA Launches New Self-Reporting Initiative for 529 Savings Plan Violations

On January 28, 2019, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 19- 04 announcing its 529 Plan Share Class

Article

Winston & Strawn LLP | USA | 11 Feb 2019

Financial Services Update, Vol. 14, Issue 6

Among the many facets of the “Tax Cuts and Jobs Act” of 2017 was the creation of certain beneficial tax-related incentives intended to spur

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

Katten Muchin Rosenman LLP | USA | 27 Jan 2019

UK Financial Conduct Authority Proposes Guidance Regarding Cryptoassets; Says Cryptocurrencies and Utility Tokens Generally Outside Regulatory Perimeter

In a consultation paper proposing guidance on cryptoassets, the UK Financial Conduct Authority indicated that, while security tokens fall within its

Article

DLA Piper | USA, Global | 24 Jan 2019

Fintech in the USA

A structured guide to fintech in the USA

Article

DLA Piper | USA, Global | 24 Jan 2019

Fintech regulation in the USA

A structured guide to fintech regulation in the USA

Article

Winston & Strawn LLP | USA | 22 Jan 2019

Financial Services Update, Vol. 14, Issue 3

Last Monday, the U.S. Supreme Court announced its denial of a petition for a writ of certiorari in State National Bank of Big Spring v. Mnuchin, a

Article

Katten Muchin Rosenman LLP | USA | 20 Jan 2019

First Person Convicted and Sentenced Under Dodd-Frank Anti-Spoofing Law Seeks New Trial

On January 10, Michael Coscia - the first person convicted and sentenced to a prison term under the prohibition against spoofing enacted under the

Article

White & Case LLP | USA | 18 Jan 2019

Review of Anti-Money Laundering and Sanctions Policy and Enforcement

This anti-money laundering and sanctions review provides an overview and insights with respect to material developments in the United States

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