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Roundup of upcoming cases and anticipated UK regulatory developments
  • DLA Piper LLP
  • United Kingdom
  • November 7 2016

Welcome to the second edition of the On the Horizon newsletter - a regular update on upcoming cases and anticipated regulatory


Financial Services Update, Vol. 11, Issue 41
  • Winston & Strawn LLP
  • USA
  • November 7 2016

With the U.S. Presidential election set for Tuesday, November 8, Americans will soon learn who will run the country for the next four years. But


Election 2016: The revolution is upon us
  • Baker & Hostetler LLP
  • USA
  • November 10 2016

In the most shocking election upset in the history of the nation, Donald Trump created a political coalition centered on economic populism and


Financial Services Update, Vol. 12, Issue 21
  • Winston & Strawn LLP
  • European Union, United Kingdom, USA
  • May 22 2017

Last week, it was announced that hackers had engaged in a widespread attack using ransomware called WannaCry, WCry, or Wanna Decryptor in which all


CFTC Launches LabCFTC FinTech Initiative - Creates New Channel for Interaction with FinTech Companies
  • Sullivan & Cromwell LLP
  • USA
  • May 22 2017

On May 17, 2017, the Commodity Futures Trading Commission ("CFTC") announced the creation of LabCFTC, a new initiative aimed at facilitating the


CFTC issues recommended best practices for security of financial Information
  • Reed Smith LLP
  • USA
  • March 6 2014

Last week, the Staff of the Commodity Futures Trading Commission (CFTC) issued Staff Advisory 14-21 on the subject of "Gramm-Leach-Bliley Act


Financial Services Update, Vol. 11, Issue 38
  • Winston & Strawn LLP
  • USA
  • October 17 2016

The SEC announced on October 11th that it filed a record number of enforcement actions in fiscal year 2016. During the fiscal year, which ended


Funds Talk: June 2017
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • June 1 2017

FINRA has introduced an expansion of Rule 4210 (the Rule), effective Dec. 15, 2017, importing margin concepts into the world of mortgage-backed


Investment management legal regulatory update - February 2015
  • Morrison & Foerster LLP
  • USA
  • February 26 2015

On February 9, 2015, the Securities and Exchange Commission (SEC) proposed amendments to its rules to implement Section 955 of the Dodd-Frank Wall


SEC investigation into illegal use of swaps in trading of private technology shares
  • Herbert Smith Freehills LLP
  • USA
  • July 6 2015

The SEC is understood to have subpoenaed a number of firms in connection with an investigation into the sale of private pre-IPO technology stocks