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23 December 2011
Brazil, Argentina and Ecuador are the latest to shake-up the region’s diverse and often unusual antitrust rules
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21 November 2011
Controls on futures and OTC customer funds will be stricter following allegations of MF Global’s use of customer funds in the days before its collapse
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17 November 2011
The new investment bank model could be a scaled-down and fragmented version of today, says Moore Capital Management’s Matthew Carpenter
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11 November 2011
The percentage of whistleblower filings resulting in investigations has been much higher than expected, according to SEC commissioner Elisse Walter.
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08 November 2011
Here we list the the best quotes from a meeting featuring SEC chairman Mary Schapiro, CFTC chairman Gary Gensler and Citigroup CEO Vikram Pandit
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21 October 2011
Senior senator advisor Mark Wetjen was appointed as the new commissioner of the Commodities Futures Trading Commission (CFTC) on Friday morning
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18 October 2011
Most hedge funds will not be deemed systemically important financial institutions if an Financial Stability Oversight Counsel’s proposal is enacted
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18 October 2011
Investment advisers have welcomed the SEC no-action letter on pay-to-play requirements
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18 October 2011
The 298-page Volcker rule proposals released last week by four regulators poses 383 questions - more than most senior practitioners have ever seen in one rule
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13 October 2011
Investors can purchase shares in private companies not subject to US SEC registration and disclosure requirements, if legislation drafted by US Representative Patrick McHenry is passed
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06 October 2011
It looks like financial institutions will have plenty of opportunity to influence the final form of the Volcker Rule. Here are the key questions and inconsistencies
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04 October 2011
Bankers' counsel don't expect a granular proposal, and even Finra admits it will be difficult to identify prohibited trades under the rule
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28 September 2011
Canadian traders are likely to see a decrease in compliance costs if a national securities regulator is approved by the Supreme Court of Canada
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20 September 2011
The CFTC will target third party managers with municipal securities in their portfolios, according to the its Director of Enforcement, David Meister
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20 September 2011
The SEC has vacated its universal proxy access rule, but companies still can't block shareholder board nominee proposals
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20 September 2011
The US living wills framework fell short of foreign banks’ principal demands, but some key requests have been accommodated
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15 September 2011
Bank of America’s inclusion of tracking stocks in its contingency plan requested by the Fed is the first mention of the security in a long time. But it's not returning
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25 August 2011
Dodd-Frank-mandated rule will exempt ABS issuers from burdensome periodical reporting requirements. But not as many as expected
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25 August 2011
Federal preemption rules codified by Dodd-Frank may force US banks to restructure
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23 August 2011
Linklaters partner Gary Barnett will head the Commodity Futures Trading Commission’s (CFTC) new swaps division
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29 July 2011
Twelve months of Dodd-Frank rulemaking has shown a heightened degree of cooperation between the two US regulators, say lawyers
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22 July 2011
The Dodd-Frank rulemaking burden may have dampened the Federal Reserve’s willingness to consider creative bank acquisition structures
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20 July 2011
Forget the international arbitrage mantra - the real risk is the domestic movement of capital from regulated sectors to the shadow banking system
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20 July 2011
US counsel have warned that the country’s systemic risk regime will filter into the mid-market
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15 July 2011
The first substantive derivative rule passed under Dodd-Frank does not reflect industry warnings against lowering the scienter standard
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01 July 2011
The new US whistleblower rules could create an “enormous” amount of collateral litigation, according to some counsel