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Results: 1-10 of 1,143

An instant message from the CFTC: preserve communications enforcement is up!

  • Baker & Hostetler LLP
  • -
  • USA
  • -
  • November 17 2014

The U.S. Commodity Futures Trading Commission ("CFTC") released its annual enforcement review for 2014. The resultsan impressive list of

Financial Regulatory Developments 14 November - Financial Conduct Authority (FCA)

  • Dentons
  • -
  • United Kingdom, USA
  • -
  • November 14 2014

FCA and the US Commodity Futures Trading Commission (CFTC) have fined five banks more than $3 billion for failures in their FX trading operations

The financial report November 13, 2014 - exchanges and self-regulatory organizations

  • DLA Piper LLP
  • -
  • USA
  • -
  • November 13 2014

A survey conducted by the Financial Industry Regulatory Authority found that 92 percent of investors agreed (62 percent strongly agreed and 30

Index changes and successor indices: avoiding delisting from the NYSE Arca

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • November 11 2014

Down deep, somewhere in the boilerplate in the back of a prospectus for an index-linked note, you can find the provisions for index adjustments and

Goldman Sachs receives SEC approval for new approach to satisfy certain Reg SHO obligations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 2 2014

Goldman Sachs Execution & Clearing, LP requested and obtained relief from the Securities and Exchange Commission related to certain of its close-out

CME brings over 20 disciplinary actions for incorrectly identifying Globex terminal operators

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 2 2014

CME Group brought and settled over 20 disciplinary actions for payment of fines of between US $400 and $5,000 for violations of its requirement that

Financial services update October 27 2014 federal rules effective dates

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 27 2014

Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special

Recent cases - October 2014

  • Burr & Forman LLP
  • -
  • USA
  • -
  • October 23 2014

Plaintiff Ronald Cezair filed suit against Federal Home Loan Mortgage Corporation (“FHLMC”), JPMorgan Chase Bank, N.A. (“Chase”), and LendingTree, LLC

SEC releases data on the reporting and dissemination of security-based swap information

  • Shearman & Sterling LLP
  • -
  • USA
  • -
  • October 22 2014

On October 17, 2014, the US Securities and Exchange Commission ("SEC") published analyses of data on the reporting and dissemination of security-based

International regulatory update - 13 17 October 2014

  • Clifford Chance LLP
  • -
  • China, European Union, France, Germany, South Korea, Thailand, United Kingdom, USA
  • -
  • October 21 2014

The EU Commission has adopted a Delegated Regulation under the Short Selling Regulation (SSR) which corrects Commission Delegated Regulation (EU) No