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Spotlight on Spoofing: Looking Back at 2015 and Forward to 2016
  • Jones Day
  • USA
  • February 9 2016

In 2014, regulators signaled that they would focus their efforts on investigating and prosecuting individuals engaged in spoofing. True to their word


Financial services update, vol. 11, issue 5
  • Winston & Strawn LLP
  • USA
  • February 8 2016

Among the instruments that EU lawmakers have passed to pave the way of the Banking Union, the Directive on Deposit Guarantee Schemes (“DGS”


NASDAQ Futures Publishes Helpful Position Limit FAQ
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2016

NASDAQ Futures, Inc. issued Frequently Asked Questions related to position limits and accountability levels. In general, position limits on NASDAQ


NFA Issues Notice Regarding Swap Valuation Dispute Notices
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2016

On February 2, National Futures Association (NFA) issued Notice I-16-07, which implements an order previously issued by the Commodity Futures Trading


The Investment Funds and Advisers 2015 Year-End Client Update Recap
  • Sidley Austin LLP
  • USA
  • February 5 2016

As the developments affecting the investment management industry continue to unfold, we have once again prepared our annual compendium of relevant


Independent IB Agrees to Withdraw From Registration Following NFA Complaint That It Failed to Cooperate and Meet Minimum Financial Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • January 31 2016

CC Trading Company LLC agreed never to apply for membership in the National Futures Association or act as a principal for an NFA member in order to


CFTC Aims to Lower the Bar on Proving Manipulation in Pending Cases
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • January 18 2016

In two separate Commodity Futures Trading Commission (CFTC) enforcement actions before district courts in New York and Chicago, the CFTC has asked


Financial services update, vol. 11, issue 1
  • Winston & Strawn LLP
  • USA
  • January 11 2016

On December 30, 2015, the U. S. District Court for the Central District of California denied a motion for judgment on the pleadings filed by CashCall


Spoofing Is No Joke: Prosecutors Clamp Down on High-Frequency Traders
  • Pillsbury Winthrop Shaw Pittman LLP
  • USA
  • January 4 2016

On November 3, 2015, an Illinois federal jury convicted Michael Coscia, a high-frequency commodities trader, of six counts of commodities fraud and


Hedge Fund Report: Summary of Key DevelopmentsFall 2015
  • Paul Hastings LLP
  • USA
  • December 21 2015

This continues to be a time of rapid change for the hedge fund industry, as the Securities and Exchange Commission (the “SEC”), the Commodity Futures