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CFTC Enforcement and Regulatory Developments

USA - June 11 2020 On June 4, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved the adoption of a final rule (Final Rule)1 prohibiting a…

Paul M. Architzel, Leland Langston, Petal Walker

SEC Proposes New Framework for Fund Valuation Practices

USA - April 30 2020 On April 21, 2020, the Securities and Exchange Commission (SEC) voted to propose Rule 2a-5 under the Investment Company Act of 1940 (1940 Act)…

Phillip Gillespie, Amy R. Doberman

OCIE Issues Risk Alert Regarding Advisers and Principal and Agency Cross Trading

USA - October 15 2019 On September 4, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk…

Timothy F. Silva

CFTC Releases Enforcement Manual in Hopes of Increasing Transparency

USA - May 29 2019 Intending to bring greater transparency to the operation of its enforcement program, the Commodity Futures Trading Commission’s (CFTC or Commission)…

Paul M. Architzel, Matthew Beville, Elizabeth Mitchell, Petal Walker

OCIE Issues Risk Alert Regarding Advisers and Broker-Dealers Failing to Comply with Regulation S-P

USA - May 15 2019 On April 16, 2019, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk Alert1…

Timothy F. Silva