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Results: 1-10 of 30

Joint orders issued by SEC and CFTC on volatility indexes and securities futures
  • Sutherland Asbill & Brennan LLP
  • USA
  • December 7 2009

The SEC and the Commodity Futures Trading Commission (CFTC) issued two joint orders related to security-based futures contracts to clarify each agency’s respective jurisdiction and allow additional products to underlie security futures


CFTC adopts CPO reporting requirement amendments
  • Sutherland Asbill & Brennan LLP
  • USA
  • December 7 2009

The CFTC adopted amendments to its regulations regarding periodic and annual reporting requirements applicable to Commodity Pool Operators (CPOs


Hedge fund sanctioned by CFTC for allegedly making false statements concerning its market positions to the Chicago Board of Trade
  • Sutherland Asbill & Brennan LLP
  • USA
  • December 7 2009

The CFTC settled charges against EMF Financial Products, LLC (EMF), a CFTC registrant based in New York, N.Y., for making false statements and failing to disclose material information concerning its market positions and financing to the Chicago Board of Trade (CBOT


SEC Commissioner and CFTC Chairman testify on the draft Financial Stability Improvement Act of 2009
  • Sutherland Asbill & Brennan LLP
  • USA
  • December 7 2009

SEC Commissioner Elisse B. Walter testified before the House Committee on Agriculture concerning the Discussion Draft of the Financial Stability Improvement Act (Discussion Draft


SEC approves conditional exemptions to OTC derivatives
  • Sutherland Asbill & Brennan LLP
  • USA
  • August 4 2009

The SEC has taken further action to help regulate over-the-counter derivatives (OTC derivatives) by approving conditional exemptions that will allow ICE Clear Europe Limited and Eurex Clearing AG to operate as central counterparties for clearing credit default swaps


CFTC Chairman Gensler testifies regarding OTC derivatives
  • Sutherland Asbill & Brennan LLP
  • USA
  • July 6 2009

CFTC Chairman Gary Gensler testified before the U.S. Senate Committee on Agriculture, Nutrition and Forestry to request the urgent enactment of broad reforms to regulate OTC derivatives to ensure that the OTC derivatives markets are transparent and free from fraud, manipulation and other abuses


CFTC Chairman Gensler speaks before the Managed Funds on the regulation of OTC derivatives and hedge funds
  • Sutherland Asbill & Brennan LLP
  • USA
  • July 6 2009

U.S. Commodity Futures Trading Commission (CFTC) Chairman Gary Gensler spoke before the Managed Funds Association in Chicago, Illinois, regarding the regulation of OTC derivatives and hedge funds


CFTC Chairman Gensler testifies before Senate regarding the Commission’s 2010 Budget
  • Sutherland Asbill & Brennan LLP
  • USA
  • July 6 2009

CFTC Chairman Gary Gensler testified before the U.S. Senate Subcommittee on Financial Services and General Government, Committee on Appropriations, on the CFTC’s 2010 Budget


SEC charges operators of $80 million Ponzi scheme targeting Korean-Americans
  • Sutherland Asbill & Brennan LLP
  • USA
  • July 6 2009

The SEC charged two California men, Peter C. Son and Jin K. Chung, and two companies they controlSNC Asset Management, Inc. and SNC Investments, Inc.for conducting an $80 million Ponzi scheme that targeted Korean-American investors with false promises of extraordinarily high returns from foreign currency (forex) trading


SEC Chairman Schapiro testifies before Senate subcommittee concerning regulation of OTC derivatives
  • Sutherland Asbill & Brennan LLP
  • USA
  • July 6 2009

SEC Chairman Mary Schapiro testified before the U.S. Senate Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs concerning the regulation of OTC derivatives and the “gap in regulation of OTC derivatives, which under current law are largely excluded or exempted from regulation.”