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CFTC Enters Into Information Sharing MOU With Three Additional Canadian Provinces
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • April 22 2016

On April 20, the Commodity Futures Trading Commission and three Canadian regulatory authorities signed counterparts to a memorandum of understanding


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


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


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


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


U.S. Volcker Rule passed by regulators
  • Stikeman Elliott LLP
  • Canada, USA
  • December 11 2013

Yesterday, the U.S. SEC, CFTC, FDIC, Federal Reserve, and Office of the Comptroller of the Currency approved the final rules implementing the


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


The financial report March 20, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • March 20 2014

The US Department of Labor published for comment a proposal that would require pension plan service providers to furnish pension plan fiduciaries


Canadian regulators provide temporary exemptions for swap execution facilities
  • Blake Cassels & Graydon LLP
  • Canada, USA
  • October 30 2013

Securities regulators in Ontario, Quebec, Alberta and Manitoba have temporarily exempted swap execution facilities, or SEFs, from recognition as


The financial report January 9, 2014 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • January 9 2014

The Federal Reserve Board, FDIC, OCC, and SEC announced a review of whether it would be appropriate and consistent with the Dodd-Frank Act to exempt