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No bright line
  • Cooley LLP
  • USA
  • August 21 2014

In its Morrison decision, the U.S. Supreme Court addressed the extraterritorial application of Section 10(b) and held that the statute only applies

Parkcentral v. Porsche: Second Circuit opens the doors of Morrison, and declines to apply Section 10(b) to domestic securities-based swap transactions
  • Katten Muchin Rosenman LLP
  • USA
  • August 22 2014

In Parkcentral Global Hub Ltd,. Et al. v. Porsche Automobile Holdings SE, et al., Dkt. No. 11-397-cv (2d Cir. Aug. 15, 2014), the US Court of Appeals

The financial report August 21, 2014 - US exchanges and self-regulatory organizations
  • DLA Piper LLP
  • USA
  • August 21 2014

The National Futures Association informed members that the Financial Crimes Enforcement Network has issued an advisory on the FATF-identified

SEC adopts rules for cross-border security-based swaps
  • Baker & McKenzie
  • USA
  • August 20 2014

On June 25, 2014, the SEC approved rules and guidance on cross-border security-based swap activities. It was the first in a series of rules to be

Other developments
  • Ropes & Gray LLP
  • USA
  • October 1 2014

Since the last issue of our IM Update, we have also published the following separate Alerts of interest to the investment management industry: SEC

CFTC harmonizes marketing requirements for certain private funds with SEC rules
  • Katten Muchin Rosenman LLP
  • USA
  • September 14 2014

The Commodity Futures Trading Commission's Division of Intermediary Oversight has provided exemptive relief to permit certain commodity pool

An instant message from the CFTC: preserve communications enforcement is up!
  • Baker & Hostetler LLP
  • USA
  • November 17 2014

The U.S. Commodity Futures Trading Commission ("CFTC") released its annual enforcement review for 2014. The resultsan impressive list of

Cross-border security-based swaps: SEC adopts initial final rules on cross-border security-based swap activities
  • Sullivan & Cromwell LLP
  • USA
  • July 22 2014

On June 25, 2014, the Securities and Exchange Commission issued a release with final rules and interpretations on the cross-border application of

Disclosure and collateral consequences of enforcement actions for regulated financial services firms
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • October 2 2014

Financial services firms facing enforcement proceedings at the hands of the U.S. Securities and Exchange Commission (SEC) or any other financial

SEC adopts Final Rules and guidance defining “security-based swap dealer” and “major security-based swap participant” in cross-border transactions
  • Alston & Bird LLP
  • USA
  • July 23 2014

On June 25, 2014, the Securities and Exchange Commission (SEC) adopted the first of a series of rules on cross-border security-based swap activities