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Fund Finance Market Review - Spring 2016
  • Mayer Brown LLP
  • USA
  • February 8 2016

The past year was an active year for Fund Financings, with positive growth and strong credit performance through 2015 as an asset class. Capital call


Senior Managers Regime: first stage now in force
  • Kingsley Napley
  • United Kingdom
  • February 8 2016

Today 8 February marks the first stage in the introduction of the Senior Managers and Certification Regime. This regime applies to all individuals


EuVECA Regulation
  • Cummings Law Ltd
  • European Union
  • February 8 2016

The European Venture Capital Funds Regulation EU 2013345 (EuVECA Regulation) was adopted in 2013 with the aim of making it easier for venture


CFTC Chairman Offers No Timetable But Says Agency “Working Hard” on Position Limits; FCA Head Says Proposed European Position Limits Unnecessary
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2016

In a speech last week before the Commodity Markets Council, Timothy Massad, Chairman of the Commodity Futures Trading Commission, highlighted recent


ICE Futures U.S. Issues Revised Wash Trade FAQ
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2016

ICE Futures U.S. issued a revised Wash Trade FAQ to additionally address, among other topics, unintentional matching of buy and sell orders from the


SciClone Pharmaceuticals: A Textbook Case of FCPA Violations for Gifts, Meals, Entertainment and Travel
  • Volkov Law Group
  • USA
  • February 7 2016

The Securities and Exchange Commission continues its steady march as the prominent FCPA enforcement agency against corporations. The Justice


Two Broker-Dealers to Pay US $154 Million to the State of NY and the SEC to Resolve Allegations of Wrongdoing by Their Dark Pools
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2016

Barclays Capital Inc. and Credit Suisse Securities settled allegations by the Securities and Exchange Commission and the New York State Attorney


EUREX Clearing Granted DCO Registration by CFTC
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2016

Eurex Clearing AG was granted registration by the Commodity Futures Trading Commission as a Derivatives Clearing Organization for swaps. However


NASDAQ Futures Publishes Helpful Position Limit FAQ
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2016

NASDAQ Futures, Inc. issued Frequently Asked Questions related to position limits and accountability levels. In general, position limits on NASDAQ


CFTC Charges One Firm and Settles With Another for Illegal Off-Exchange Precious Metals Transactions
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2016

The Commodity Futures Trading Commission brought one case and settled another where it alleged that companies and their principals engaged in illegal