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Bridging the Weeks by Gary DeWaal: November 23 - December 4 and 7, 2015 (Insider Trading in Futures; Newer, Tougher AML Requirements; New CCO Obligations; Possible Bitcoin Fraud)
  • Katten Muchin Rosenman LLP
  • Canada, European Union, Global, USA
  • December 6 2015

Compliance officers may be in the bullseye again as a result of new regulatory proposals introduced during the prior two weeks by the New York State

CFTC registers ICE Futures Canada and Montreal Exchange as FBOTs
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • August 28 2015

The Commodity Futures Trading Commission has issued orders granting foreign board of trade (FBOT) registration to ICE Futures Canada, Inc. and

Issuers quoted in the U.S. over-the-counter markets
  • Gowling Lafleur Henderson LLP
  • Canada, USA
  • August 27 2015

On August 25, 2015, the participating provinces and territory in the Cooperative Capital Markets Regulatory System achieved an important milestone

ICE Futures U.S. and Canada amend rules to expressly prohibit disruptive trading practices
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • January 4 2015

ICE Futures U.S. and ICE Futures Canada proposed new rules expressly prohibiting disruptive trading practices and simultaneously issued proposed

The financial report December 11, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • December 11 2014

In what may be viewed as a watershed event in insider trading jurisprudence, the Second Circuit unanimously struck down the convictions of Todd

CFTC extends swap reporting relief applicable to Canadian dealers
  • Stikeman Elliott LLP
  • Canada, USA
  • November 28 2014

On November 24, the U.S. Commodity Futures Trading Commission issued a no-action letter to extend, by up to a year, current relief from certain swap

The financial report October 2, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • October 7 2014

The US North American Securities Administrators Association published its annual enforcement survey. It noted a significant increase in the amount of

CFTC staff issues time-limited no-action letter for Canadian swap dealers concerning quarterly risk exposure reports
  • Shearman & Sterling LLP
  • Canada, USA
  • June 3 2014

On 30 May 2014, the US Commodity Futures Trading Commission's ("CFTC") Division of Swap Dealer and Intermediary Oversight announced the issuance of a

The financial report April 17, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • April 17 2014

The D.C. Circuit Court of Appeals has ruled that the reporting requirement under Dodd-Frank, which requires that an issuer describe its products as

The financial report April 3, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • April 3 2014

In a speech at the Securities Industry and Financial Markets Association Compliance & Legal Society Annual Seminar, SEC Chair Mary Jo White discussed