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Results: 1-10 of 9,996

CFTC staff guidance on chief compliance officer annual reports
  • Sullivan & Cromwell LLP
  • USA
  • January 12 2015

On December 22, 2014, the Division of Swap Dealer and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (the


New year to bring increased regulatory focus on cybersecurity for financial institutions
  • Vedder Price PC
  • USA
  • January 8 2015

Having weathered the cybersecurity turbulence of 2014, the financial services sector can look forward to increased regulatory attention from federal


CME strikes revisions to wash trade Advisory Notice regarding block trades
  • Katten Muchin Rosenman LLP
  • USA
  • January 9 2015

On January 6, the CME Group Exchanges (CME Group) issued an amended Advisory Notice on wash trades, which removes language prohibiting block trades


CFTC announces second spoofing action against commodity traders
  • Stinson Leonard Street LLP
  • USA
  • January 2 2013

The Commodity Futures Trading Commission (CFTC) recently announced its second enforcement action against a commodity trader for engaging in the


ICE Futures U.S. adopts disruptive trading practices rule
  • Katten Muchin Rosenman LLP
  • USA
  • January 9 2015

On December 29, 2014, ICE Futures U.S. (ICE) proposed a new rule to prohibit certain disruptive trading practices. The proposed rule broadly prohibits


Investment company and former CEO charged with defrauding investors related to sale of index products using ETFs; firm settles by payment of US $35 million
  • Katten Muchin Rosenman LLP
  • USA
  • January 4 2015

The Securities and Exchange Commission filed charges against FSquared Investments, claiming it defrauded investors by falsely advertising a


CFTC advisory subcommittee recommends globally coordinated NDF clearing mandate with a clear timeline
  • Katten Muchin Rosenman LLP
  • USA
  • January 4 2015

The Foreign Exchange Markets Subcommitteea subcommittee of the Commodity Futures Trading Commission’s Global Markets Advisory Committee composed of


Final exemptive order regarding compliance with certain swap regulations; further proposed guidance
  • White & Case LLP
  • USA
  • January 3 2013

On December 21, 2012, the Commodity Futures Trading Commission (the "Commission" or "CFTC") approved an exemptive final order (the "Final Order"


Dodd frank compliance date for notification of segregation on horizon for swap dealers and major swap participants
  • Vorys, Sater, Seymour and Pease LLP
  • USA
  • March 21 2014

In November of 2013, the U.S. Commodity Futures Trading Commission (CFTC) issued Final Rules on the Protection of Collateral of Counterparties to


ISDA protocol compliance deadlines delayed
  • Haynes and Boone LLP
  • USA
  • December 18 2012

End users will be relieved to know that compliance dates for business conduct and documentation rules related to the Dodd-Frank Wall Street Reform and