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Results: 11-20 of 8,245

FinCEN proposes AML and SAR requirements for investment advisers
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

The Financial Crimes Enforcement Network proposed rules requiring Securities and Exchange Commission-registered investment advisers to establish


IFUS sanctions West Oaks Energy over US $415,000 for position limit violations; other firms fined for pre-execution communication, block trades and EFRP Rule infractions
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

West Oaks Energy agreed to pay a fine of almost US $248,000 and disgorgement of almost $168,000 to resolve allegations by ICE Futures U.S. that it


ICE Futures Canada and Montreal Exchange authorized by CFTC to provide direct access to US persons
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

Two Canada-based exchanges have been issued orders of registration by the Commodity Futures Trading Commission permitting them to offer direct access


CFTC approves NFA’s enhanced retail forex requirements
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2015

The Commodity Futures Trading Commission has approved amendments to National Futures Association’s (NFA’s) rules and an accompanying interpretive


The NASDAQ Stock Market LLC; notice of filing of proposed rule change to adopt a Kill Switch for NOM
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2015

On August 20, NASDAQ filed a proposed rule change with the Securities and Exchange Commission, which seeks to amend Chapter VI, Section 6, entitled


Anti-money laundering program and suspicious activity report filing for investment advisers
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2015

The Financial Crimes Enforcement Network (FinCEN) issued a notice of proposed rulemaking that would require registered investment advisers to


CFTC registers ICE Futures Canada and Montreal Exchange as FBOTs
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • August 28 2015

The Commodity Futures Trading Commission has issued orders granting foreign board of trade (FBOT) registration to ICE Futures Canada, Inc. and


The SEC’s Registration Rules for security-based swap dealers
  • Morrison & Foerster LLP
  • USA
  • August 28 2015

Early this month the U.S. Securities and Exchange Commission ("SEC") released final rules (the "Registration Rules") for the registration of


SEC adopts rules and forms establishing a registration process for security-based swap entities; compliance date still some time off
  • Allen & Overy LLP
  • USA
  • August 27 2015

The SEC adopted rules and forms establishing a process whereby security-based Swap Dealers and major security-based swap participants can register


Issuers quoted in the U.S. over-the-counter markets
  • Gowling Lafleur Henderson LLP
  • Canada, USA
  • August 27 2015

On August 25, 2015, the participating provinces and territory in the Cooperative Capital Markets Regulatory System achieved an important milestone