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International regulatory update - 2 6 June 2014
  • Clifford Chance LLP
  • European Union, Germany, Global, Netherlands, Singapore, United Arab Emirates, United Kingdom, USA
  • June 9 2014

The EU Commission has issued a request to the European Securities and Markets Authority (ESMA) for technical advice on implementing acts concerning

Business law update - Spring 2014
  • Thompson Hine LLP
  • Canada, China, Germany, Japan, USA
  • March 24 2014

With deals today being larger and more global than ever before, a merger between two U.S. companies may have far-reaching effects in countries around

CFTC recommends best practices for data privacy and information security
  • McGuireWoods LLP
  • USA
  • February 28 2014

Consistent with requirements under the Gramm-Leach-Bliley Act (GLBA) and regulations adopted by the Commodity Futures Trading Commission (CFTC) and

CFTC issues GLBA security guidelines
  • Hogan Lovells
  • USA
  • March 13 2014

The Commodity Futures Trading Commission (CFTC) has issued guidance for CFTC-regulated financial institutions on compliance with the security

Reminder for fund managers on the November 20 identity theft red flags rules deadline
  • Schulte Roth & Zabel LLP
  • USA
  • November 6 2013

On April 10, 2013, the U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission approved joint final identity theft rules

General Counsel update - February 2014
  • Herbert Smith Freehills LLP
  • Global
  • February 27 2014

The Trans-Pacific Partnership (TPP), the Free Trade Agreement Covering the major economies of the Pacific Rim, is thought to be Nearing signature

CFTC issues Advisory on compliance with Gramm-Leach-Bliley Act security safeguards
  • Katten Muchin Rosenman LLP
  • USA
  • February 28 2014

On February 26, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission issued Advisory 14-21 to

Electronic discovery & information governance - tip of the month: strategies for the preservation and production of audio recordings
  • Mayer Brown LLP
  • USA
  • April 30 2015

A large financial institution that is a major participant in the swaps market instituted an audio Data Retention policy to conform with newly enacted

Corporate Crime Update - September 2015 - United Kingdom Europe
  • Herbert Smith Freehills LLP
  • European Union
  • September 17 2015

A former derivatives trader has been convicted of 8 counts of conspiracy to defraud. He was sentenced to a total of 14 years in prison in relation to

NFA proposes interpretive notice on information systems security programs
  • Katten Muchin Rosenman LLP
  • USA
  • September 4 2015

On August 28, the National Futures Association (NFA) proposed the adoption of an interpretive notice that requires every NFA member firm to establish