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Results: 1-10 of 91

CFTC and FinCEN agree to information sharing

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 23 2009

The Commodity Futures Trading Commission and the Financial Crimes Enforcement Network (FinCEN) have announced an agreement to exchange information in an effort to ensure that CFTC-regulated entities are in compliance with their anti-money laundering obligations under the Bank Secrecy Act (BSA

SEC files credit default swap insider-trading case

  • Duane Morris LLP
  • -
  • USA
  • -
  • May 12 2009

For the first time, the U.S. Securities and Exchange Commission ("SEC") filed an insider-trading case involving the purchase of a credit default swap ("CDS") based on confidential, nonpublic material information

Regulation of OTC derivatives today and tomorrow

  • Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • -
  • USA
  • -
  • September 9 2009

In the aftermath of the bankruptcy filings by Lehman Brothers Holdings Inc. and certain of its subsidiaries and the ensuing market turmoil, credit default swaps ("CDS") have been cited as one of the main culprits for causing the current crisis

Application of the correspondent account rule to OTC executing dealers

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 7 2007

The Financial Crimes Enforcement Network (FinCEN) has issued interpretive guidance to clarify the due diligence obligations of executing dealers in over-the-counter foreign exchange and derivatives markets pursuant to prime brokerage arrangements under the correspondent account provisions of the USA PATRIOT Act

President Obama signs Fraud Enforcement and Recovery Act of 2009 into law

  • Reed Smith LLP
  • -
  • USA
  • -
  • June 5 2009

The Fraud Enforcement and Recovery Act of 2009 ("FERA" or "the Act") was signed into law by President Obama May 20, 2009, and became effective on that date

SEC charges hedge fund manager and bond salesman in first insider trading case involving credit default swaps

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • June 3 2009

In the SEC’s continued trend to bring enforcement actions against hedge funds, the SEC filed its first insider trading action involving credit default swaps against two individuals Jon-Paul Rorech and Renato Negrin

Guidance issued regarding due diligence obligations of OTC executing dealers

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2007

The Financial Crimes Enforcement Network (FinCEN) has issued interpretive guidance clarifying the due diligence obligations of executing dealers under the correspondent account rule with respect to prime brokerage clients in over-the-counter foreign exchange and derivatives markets (OTC Markets

Group pleading improper in CFTC enforcement action

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 12 2010

The Commodity Futures Trading Commission brought an enforcement action against several investment firms and affiliated individuals for the fraudulent operation of a foreign currency trading firm

Decision on SEC's first insider trading case involving credit default swaps

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • July 28 2010

On June 25th, a federal district court judge ruled against the Securities and Exchange Commission (SEC) in U.S. regulators' first lawsuit alleging insider trading of credit default swaps (CDS

Whisleblowers granted bounties and protection from SEC and CFTC in US financial reform law

  • Freshfields Bruckhaus Deringer LLP
  • -
  • United Kingdom, USA
  • -
  • July 21 2010

With the signing of the Dodd-Frank Wall Street Reform and Consumer Protection Act into law this week, the US government quietly introduced two parallel whisleblower programs that will provide powerful financial incentives for individuals to report suspected securities or commodities trading violations to the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC

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