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CPO delegation process revised by CFTC no-action letter
  • Pillsbury Winthrop Shaw Pittman LLP
  • USA
  • May 16 2014

The Commodity Futures Trading Commission ("CFTC") staff recently issued guidance to registered CPOs regarding the delegation of commodity pool


CFPB Grabs for SECCFTC Turf
  • Carlton Fields
  • USA
  • October 13 2016

In May, the Consumer Financial Protection Bureau (CFPB) proposed a ban on “mandatory arbitration” contract clauses that make financial products


CFTC adopts harmonization rules for registered investment company CPOs; amends rules for all CPOs and CTAs
  • Debevoise & Plimpton LLP
  • USA
  • August 30 2013

On August 12, 2013, the Commodity Futures Trading Commission (the "Commission" or "CFTC") issued final rules (the "Final Rules") 1 with respect to


Cyber Security Quarterly Round-Up - October 2016
  • Herbert Smith Freehills LLP
  • Australia, Hong Kong, United Kingdom, USA
  • October 24 2016

Cyber security affects all businesses and industries and is a Board level agenda item. Our quarterly eBulletin provides a round-up of best practice


CFTC issues harmonization scheme, permits substitute compliance
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • August 19 2013

On August 13, the CFTC adopted final rules setting forth a harmonization scheme that would apply to mutual funds and closed-end funds (RICs) that


Financial Services Update, Vol. 11, Issue 39
  • Winston & Strawn LLP
  • USA
  • October 24 2016

In this edition, we discuss at length two recent developments in the area of bank regulation: first, the D.C. Circuit’s decision that the structure of


Listed options trading proposal disapproved
  • Winston & Strawn LLP
  • USA
  • November 4 2013

On October 25th, the SEC issued an order disapproving the NASDAQ OMX BX's proposed establishment of a directed order process for the trading of


Financial services update April 14 2014 federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • April 14 2014

Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds.79


New SEC & CFTC rules regarding identity theft programs for private fund advisers
  • Fried Frank Harris Shriver & Jacobson LLP
  • USA
  • April 26 2013

In 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") amended the Fair Credit Reporting Act ("FCRA") to add


“Volcker Rule” regulations finally see the light of day
  • Reed Smith LLP
  • USA
  • December 13 2013

Federal financial regulators on December 10, 2013 released final regulations for the Volcker Rule, which is a key provision of the Dodd-Frank Act