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SEC charges Switzerland-based dealer for selling to U.S. investors unregistered security-based swaps for Bitcoins

USA - November 26 2019 In October, the SEC charged a Switzerland-based securities dealer for offering and selling unregistered security-based swaps to U.S. investors using...

Jeremy C. Jennings-Mares, Clara Wong, Yiyang Huang, James E. Schwartz.

European Commission consultation on EU Benchmark Regulation

European Union - November 26 2019 The European Commission ("Commission") published a public consultation document1 in October 2019 relating to the review of Regulation (EU) 20161011...

Jeremy C. Jennings-Mares, Clara Wong, Yiyang Huang, James E. Schwartz.

Regulators propose delay in initial margin phase-in for swaps with certain financial end users

USA - November 26 2019 In recent weeks both the Commodity Futures Trading Commission (CFTC) and the U.S. prudential banking regulators have proposed rules that would delay...

Jeremy C. Jennings-Mares, Clara Wong, Yiyang Huang, James E. Schwartz.

FINRA: suitability and sales practices remain an issue

USA - November 26 2019 In October 2019, FINRA released its "2019 Report on Examination Findings and Observations." The report is intended to reflect key findings and...

Jeremy C. Jennings-Mares, Clara Wong, Yiyang Huang, James E. Schwartz.

FINRA fines broker-dealer for unsuitable sale of complex securities

USA - October 18 2019 In September 2019, FINRA censured and fined a Florida-based broker-dealer, including for failing to reasonably supervise sales of complex securities...

Jeremy C. Jennings-Mares, Yiyang Huang, James E. Schwartz.