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Results: 11-20 of 9,740

SEC Adopts Additional Rules Related to Security-Based Swap Transaction Reporting
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • July 19 2016

On July 13, 2016, the Securities and Exchange Commission adopted rules focused on greater transparency in security-based swap transactions, relying


Qualified Intermediaries and “Dividend Equivalent” Withholding
  • Sullivan & Cromwell LLP
  • USA
  • July 19 2016

The IRS recently released a new draft “qualified intermediary” (“QI”) agreement (the “Proposed QI Agreement”) in Notice 2016-42 (the “Notice”). All


Good Hill v. Deutsche Bank: CDS Market Participants Free to Deal in Underlying Reference Obligation in Own Self-Interest
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • July 18 2016

Debt Dialogue focuses on recent developments and recurring interpretive issues and principles that debt-focused investors commonly encounter. Members


CFTC files opposition to industry group amicus brief in CFTC action against DRW
  • Sidley Austin LLP
  • USA
  • July 18 2016

On July 13, the CFTC filed an opposition to an amicus brief filed by a group of prominent industry associations (CME Group Inc.; Commodity Markets


Coscia gets three-year prison sentence for spoofing
  • Sidley Austin LLP
  • USA
  • July 18 2016

On July 13, convicted commodities trader Michael Coscia was sentenced to three years in prison and two years of supervised release for spoofing and


Michael Coscia Sentenced to Three Years’ Imprisonment for Spoofing and Commodity Fraud
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Michael Coscia, the first person prosecuted and convicted under a law prohibiting spoofing that was enacted after the 2007-2008 financial crisis, was


Computer Coding Error Results in Broker-Dealer Blue Sheets’ Errors Over 15 Years and US $7 Million SEC Fine
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Citigroup Global Markets Inc. agreed to pay a US $7 million fine to the Securities and Exchange Commission to resolve charges that, from 1999 through


Two Foreign Agribusinesses Agree to Resolve CFTC Charges for Their Alleged Failure to Report Physical Positions
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

The Commodity Futures Trading Commission filed and settled charges against two unrelated Singapore-based commodities trading firms for not filing


CME Group Sanctions Two Firms for Purported Transitory EFRPs and One Individual for Non-Bona Fide Transactions
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

A Business Conduct Committee of the Chicago Board of Trade accepted settlements from JP Morgan Chase Bank NA and JBS USA, LLC for allegedly entering


Speakers Attack Source Code and Registration Provisions of Proposed Reg AT Before Congressional Committee
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Members of the House Committee on Agriculture and all four witnesses that appeared before it last week during a public hearing on the Commodity