We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 4,250

ISDA Launches 2016 Variation Margin Protocol to Facilitate Compliance With Margin Rules
  • McGuireWoods LLP
  • Global, USA
  • August 23 2016

On August 16, 2016, the International Swaps and Derivatives Association, Inc. (ISDA) published the ISDA 2016 Variation Margin Protocol (VM Protocol


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


Financial Services Update, vol. 11, no. 31
  • Winston & Strawn LLP
  • USA
  • August 22 2016

While political gridlock in Washington has caused the well-known stalemate over filling the presently vacant U.S. Supreme Court seat, it has also


Actualite juridique Juin - Juillet 2016
  • Kramer Levin Naftalis & Frankel LLP
  • European Union, USA
  • August 22 2016

L’ESMA a publié le 19 juillet 2016 une mise à jour de ses questions-réponses relatives à l’application de la Directive du 23 juillet 2014 n


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


Another Publicly Traded Firm Sanctioned by SEC For Allegedly Undercutting Whistleblower Protections Through Severance Agreements
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Health Net, Inc., a formerly publicly traded company whose securities were registered with the Securities and Exchange Commission until earlier this


NFA Updates Self-Examination Questionnaire for Registrants
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The National Futures Association issued a revised Self-Examination Questionnaire for its members. Revisions address the use of foreign exchange


CFTC Staff Issue Another Report but Commission Takes No Action Regarding Swap Dealer De Minimis Threshold
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Staff of the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight issued a final report evaluating the CFTC's


Swap Dealer Sued in Federal Court by CFTC for Recidivist Reporting Violations; Acknowledges Bank’s Cooperation
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The Commodity Futures Trading Commission filed charges in federal court against Deutsche Bank AG, a registered swap dealer, for its alleged failure


Retail FX Dealer Charged by CFTC With Not Meeting Minimum Capital Requirements and Guaranteeing Customers Against Losses
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The Commodity Futures Trading Commission filed a civil complaint against Forex Capital Markets, LLC for being undercapitalized by approximately US