Results 6 to 10 of 15

Mutual Fund Sponsors Beware: Recent SEC Staff Guidance could Result in Lapse in Registration

USA - April 17 2019 In a footnote to an April 2, 2019 SEC Staff guidance,1 the Staff requested that mutual funds file a delaying amendment to postpone the effective date…

Gretchen Passe Roin

CFTC Releases Enforcement Advisory Regarding Self Reporting and Cooperation for CEA Violations Involving Foreign Corrupt Practices

USA - March 7 2019 On March 6, 2019, the Commodity Futures Trading Commission’s (Commission) Division of Enforcement (Division) released an Enforcement Advisory…

Paul M. Architzel, Petal Walker

CFTC Announces Whistleblower Award Totaling More Than $2 Million To Company Outsider

USA - March 5 2019 On March 4, 2019, the US Commodity Futures Trading Commission (CFTC) announced a whistleblower award totaling more than $2 million to a company…

Paul M. Architzel, Aaron Friedman, Anjan Sahni, Daniel F. Schubert, Petal Walker

CFTC Announces Examination Priorities for 2019

USA - February 28 2019 On February 12, 2019, the Commodity Futures Trading Commission (CFTC or Commission) published for the first time its examination priorities for the…

Paul M. Architzel, Joseph M. Toner, Petal Walker

OCIE Risk Alert on Cash Solicitation Rule

USA - January 28 2019 WilmerHale’s Gretchen Passe Roin, Timothy Silva and Seth Davis authored this Investment Lawyer article discussing a recent risk alert by the…

Gretchen Passe Roin, Timothy F. Silva