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The Delta Report: Derivatives Newsletter, September 2016
  • White & Case LLP
  • European Union, Global, Hong Kong, United Kingdom, USA
  • September 23 2016

On March 16, 2016, the Commodity Futures Trading Commission (“CFTC”) approved a final rule (“TO Final Rule”) that amends its trade option exemption


Federal Civil Penalties Set to Increase Significantly, Many Present Retroactivity Concerns
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • September 14 2016

Over the past several months, many federal agencies have adopted rules significantly increasing the maximum civil monetary penalties ("CMPs") they can


2016 Mid-Year Cross-Border Government Investigations and Regulatory Enforcement Review
  • Baker & Hostetler LLP
  • European Union, United Kingdom, USA
  • September 14 2016

The U.S. government has continued its aggressive enforcement of U.S. securities laws against individuals and entities located outside the U.S. for


Corporate Investigations and White Collar Defence: Keeping an Eye Out Updates and Briefly Noted
  • Manatt Phelps & Phillips LLP
  • USA
  • September 2 2016

D.C. Circuit rejected petition to review “Appointments Clause” Article II constitutional challenge to SEC “in house” administrative proceedings: On


The Financial Report - August 25, 2016: US Securities and Exchange Commission Developments
  • DLA Piper LLP
  • USA
  • August 25 2016

The SEC’s Division of Trading and Markets issued a no-action letter in response to the Financial Industry Regulatory Authority’s request for


SEC enforcement quarterly - 2nd quarter 2016
  • Sidley Austin LLP
  • Canada, USA
  • August 23 2016

As we have reported previously, in a prior edition of the SEC Enforcement Quarterly, the enactment of the Dodd-Frank Wall Street Reform and Consumer


Trading and markets enforcement report
  • Morgan Lewis & Bockius LLP
  • USA
  • August 22 2016

The last several years have seen law enforcement and regulatory bodies sharpen their focus on trading activity in the securities and derivatives


CFTC Announces Actions Addressing Application of the Dodd-Frank Act to Cross-Border Transactions
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • August 15 2016

On August 4, 2016, the U.S. Commodity Futures Trading Commission (CFTC) announced two separate actions relating to the application of the Dodd-Frank


Retroactive Civil Penalty Increases?
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • August 10 2016

Over the past several months, many federal agencies have adopted rules significantly increasing the maximum civil monetary penalties (CMPs) they can


CFTC Issues Final Rules on CrossBorder Uncleared Swap Margin Requirements
  • White & Case LLP
  • USA
  • August 8 2016

On December 16, 2015, the Commodity Futures Trading Commission (the “CFTC”) released final rules and accompanying interpretive guidance setting out