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Results: 11-20 of 4,923

The financial report August 21, 2014 - US Commodity Futures Trading Commission developments

  • DLA Piper LLP
  • -
  • USA
  • -
  • August 21 2014

The Divisions of Clearing and Risk and Swap Dealer and Intermediary Oversight issued a no-action letter stating that the Divisions will not recommend

The financial report August 21, 2014 - US exchanges and self-regulatory organizations

  • DLA Piper LLP
  • -
  • USA
  • -
  • August 21 2014

The National Futures Association informed members that the Financial Crimes Enforcement Network has issued an advisory on the FATF-identified

The financial report August 21, 2014 - news from the Americas

  • DLA Piper LLP
  • -
  • USA
  • -
  • August 21 2014

Liberty Street Economics, a blog of the Federal Reserve Bank of New York, summarized a recent New York Fed staff report which studied the effect of

No bright line

  • Cooley LLP
  • -
  • USA
  • -
  • August 21 2014

In its Morrison decision, the U.S. Supreme Court addressed the extraterritorial application of Section 10(b) and held that the statute only applies

CFTC no-action relief for CPO delegation

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 20 2014

In May, the CFTC issued an Advisory, which set forth procedures to obtain No-Action Relief on an expedited basis for managers of commodity pools who

House proposes exemption from CPO registration for certain investment advisers to mutual funds

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 20 2014

As part of the CFTC Reauthorization Bill, the House included a proposed amendment to CFTC Rule 4.5, which would expand the exemption from CPO

Doing business with non-registrants

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 20 2014

NFA recently commenced and settled a business conduct committee complaint against a retail foreign exchange dealer ("RFED") for doing business with a

CTACPO fraud

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 20 2014

The CFTC obtained a federal court order requiring individuals and their affiliated companies to pay a civil monetary penalty of $32 million and

Manipulation

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 20 2014

The CFTC issued an order against an inter-dealer broker with respect to charges of manipulation, attempted manipulation, false reporting, and aiding

CFTC responds to FIA request for relief from certain customer funds requirements

  • Baker & McKenzie
  • -
  • USA
  • -
  • August 20 2014

The CFTC's Division of Swap Dealer and Intermediary Oversight on June 25, 2014, issued a letter extending no-action relief to FCMs until October 31