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Results: 1-10 of 4,272

CFTC To Host Roundtable on Recent CPMI-IOSCO Guidance
  • Katten Muchin Rosenman LLP
  • Global, USA
  • September 23 2016

The Commodity Futures Trading Commission will host a roundtable on October 6 to gather feedback in relation to a report on central counterparty


The Financial Report, 22 September 2016, US Exchanges and Self-Regulatory Organizations
  • DLA Piper LLP
  • USA
  • September 22 2016

FINRA sanctions Avenir Financial, CEO and registered representative for misconduct in self-offerings. The Financial Industry Regulatory Authority


Financial Services Update, Vol. 11, Issue 34
  • Winston & Strawn LLP
  • USA
  • September 19 2016

A federal court recently granted the Consumer Financial Protection Bureau (CFPB) summary judgment regarding liability against CashCall, Inc., its


Delay of Swap Dealer De Minimis Threshold
  • McGuireWoods LLP
  • USA
  • September 19 2016

On September 15, 2016, CFTC Chairman Massad, in remarks at the OTC Derivatives Summit North America, indicated he would recommend delaying the drop


International Bank Fined by HK Regulator for Position Limit Breaches in Futures and Options
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • September 18 2016

The Hong Kong Securities and Futures Commission fined The Hong Kong and Shanghai Banking Corporation Limited the equivalent of approximately US $325


Australia-Regulated Trading Facility Authorized to Permit US Persons to Trade Swaps Without SEF Registration
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

Two divisions of the Commodity Futures Trading Commission granted no-action relief to Yieldbroker Pty Limited, an Australia-based swap multilateral


CFTC Guidance on FCM and DCO Investments in Money Market Funds
  • Dechert LLP
  • USA
  • September 15 2016

Divisions of the U.S. Commodity Futures Trading Commission (CFTC) on August 8, 2016 issued letters restricting Futures Commission merchants (FCMs) and


Managing Mandatory Margin: ISDA's 2016 Variation Margin Protocol
  • Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • Global, USA
  • September 15 2016

The International Swaps and Derivatives Association, Inc. ("ISDA") recently published the 2016 Variation Margin Protocol (the "VM Protocol") to


NFA Proposal Would Require CFTC-Registered Asset Managers to Report on Financial Condition
  • Morgan Lewis & Bockius LLP
  • USA
  • September 15 2016

NFA recently proposed enhanced financial reporting obligations (2016 Proposal) for commodity pool operators and commodity trading advisors that are


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