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Results: 1-10 of 111

May 1, 2013: SEC and CFTC red flag rules become effective May 20, 2013

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • May 14 2013

The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds

CFTC and SEC jointly adopt identity theft red flags rules

  • Herrick Feinstein LLP
  • -
  • USA
  • -
  • May 2 2013

On April 10, 2013, the CFTC and SEC jointly issued final rules under Section 615(e) of the Fair Credit Reporting Act (the "FCRA") which require

This week in securities litigation (week ending April 26, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • April 26 2013

George Canellos and Andrew Ceresney, two former colleagues in the Manhattan U.S. Attorney's Office, became the first Co-Directors of the SEC's

FinCEN issues final rules relating to MSB definitions

  • Schulte Roth & Zabel LLP
  • -
  • USA
  • -
  • October 26 2011

On July 21, 2011, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network issued a final rule, revising the regulations regarding money services businesses

European Commission publishes proposals for revised market abuse directive

  • Katten Muchin Rosenman LLP
  • -
  • European Union, United Kingdom
  • -
  • December 9 2011

The European Commission has published its proposals for the revision of the Market Abuse Directive (20036EC) (MAD

Another futures commission merchant files for bankruptcy protection amid charges of failure to account for customer funds

  • Arent Fox LLP
  • -
  • USA
  • -
  • July 12 2012

Peregrine Financial Group, Inc. (PFG), a registered futures commission merchant (FCM), is reportedly missing approximately $215 million in customer funds and has been sued by the Commodity Futures Trading Commission (CFTC) in the US District Court for the Northern District for Illinois, Eastern Division

Insider dealing at Blue Index

  • Hogan Lovells
  • -
  • United Kingdom
  • -
  • July 31 2012

James Sanders, a director of Blue Index Limited ("Blue Index"), a specialist contracts for difference brokerage, his wife Miranda Sanders and James Swallow, a co-director of Blue Index were sentenced for insider dealing on 20 June 2012

This week in securities litigation (week ending March 16, 2012)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • March 16 2012

The Commission won a significant victory this week in the Second Circuit Court of Appeals in its Citigroup litigation

International regulatory update 10-14 December 2012

  • Clifford Chance LLP
  • -
  • European Union, Germany, Hong Kong, Italy, Spain, United Kingdom, USA
  • -
  • December 17 2012

The European Council (Heads of State or Government) has published the conclusions from its meeting on 13 and 14 December 2012, at which it agreed on a roadmap for the completion of the Economic and Monetary Union

Market manipulation: the curious case of Mr Hobbs

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • January 14 2013

In something of a reverse for the FSA, last month the Upper Tribunal directed that no action should be taken against Mr Hobbs, a trader whose conduct

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