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Results: 1-10 of 14

Futures trader allegedly hid $8.3 billion position

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • November 12 2012

On November 8th, the Commodity Futures Trading Commission (the "CFTC") filed an enforcement action charging Matthew Marshall Taylor with defrauding his employer, a futures commission merchant, by intentionally concealing the true size, as well as the risk and potential profits or losses associated with the S&P 500 e-mini futures contracts position in a firm account traded by Taylor

Financial services legislative and regulatory update - June 25, 2012

  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • -
  • European Union, Global, USA
  • -
  • June 25 2012

Leading the Past Week

Washington report

  • Williams Mullen
  • -
  • USA
  • -
  • February 10 2012

This report is designed to provide employees and clients with a summary of anticipated significant Congressional action in 2012

Financial services legislative and regulatory update - February 6, 2012

  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • -
  • USA
  • -
  • February 6 2012

It was only fitting that in a week where we honor Americas worst weatherman, err rodent that the week ended with a jobs creation announcement that shattered predictions

DOL calls into question whether boilerplate indemnification language in an ira brokerage agreement constitutes a nonexempt prohibited transaction

  • Morgan Lewis & Bockius LLP
  • -
  • USA
  • -
  • December 6 2011

On October 20, the Employee Benefits Security Administration of the U.S. Department of Labor (DOL) issued Advisory Opinion 2011-09A (AO 2011-09A), in which it concludes that relief under Prohibited Transaction Class Exemption 80-26 (PTE 80-26) is not available for an indemnification arrangement involving a futures trading agreement for an individual retirement account (an IRA), raising the question as to whether such indemnification arrangements would be non-exempt prohibited transactions

Whistleblower provisions

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 13 2010

On December 6th, the CFTC published for comment proposed rules implementing the whistleblower protection provisions of the Dodd-Frank Act

ERISA advisory - proposed regulation redefining fiduciary

  • Steptoe & Johnson LLP
  • -
  • USA
  • -
  • November 5 2010

On October 21, 2010, the Department of Labor (Department) proposed a wholesale revision to its regulation that defines the term “fiduciary” under ERISA and the Internal Revenue Code

The sounds of new whistleblower awards and protections under the Dodd-Frank Wall Street Reform and Consumer Protection Act

  • Epstein Becker Green
  • -
  • USA
  • -
  • August 17 2010

With its enactment of financial reform legislation, Congress has elevated and expanded whistleblowing, giving it a more critical and mainstream function in the regulatory and enforcement scheme

Bloomberg article examines whistleblower awards and protections under the Dodd-Frank Wall Street Reform and Consumer Protection Act

  • Epstein Becker Green
  • -
  • USA
  • -
  • August 17 2010

In the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), Congress has crafted an array of bounty awards and whistleblower protections broadly affecting securities, commodities and futures, and consumer financial products firms and those associated with them

Financial reform legislation: a guide to the employment-related provisions

  • Morgan Lewis & Bockius LLP
  • -
  • USA
  • -
  • August 5 2010

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Wall Street Reform Act) was signed into law by President Obama on July 21, 2010

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