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Results:1-10 of 19,631

NFA to Members: Be Careful Dealing With Exempt CTAs and CPOs During First Quarter 2019
  • Katten Muchin Rosenman LLP
  • USA
  • January 20 2019

The National Futures Association issued its annual reminder that members dealing with lawfully exempt-from-registration commodity trading advisors


Nine Persons Charged by SEC in EDGAR Hacking and Illicit Trading Scheme; Two Persons Additionally Named in Criminal Indictment
  • Katten Muchin Rosenman LLP
  • USA
  • January 20 2019

The Securities and Exchange Commission filed a civil lawsuit against Oleksandr Ieremenko and eight other persons for allegedly conducting an illegal


First Person Convicted and Sentenced Under Dodd-Frank Anti-Spoofing Law Seeks New Trial
  • Katten Muchin Rosenman LLP
  • USA
  • January 20 2019

On January 10, Michael Coscia - the first person convicted and sentenced to a prison term under the prohibition against spoofing enacted under the


Aggiornamento Normativo
  • FIVELEX Studio Legale
  • Italy
  • January 18 2019

In data 4 gennaio 2019, l'ESMA ha pubblicato un aggiornamento alle proprie Q&A sul regime applicabile ai commodity derivatives ai sensi della


National Futures Association Adopts Notification Requirement for Certain Cybersecurity Incidents
  • Mayer Brown
  • USA
  • January 18 2019

On January 7, 2019, the National Futures Association ("NFA") announced that it had adopted amendments to its information security requirements that


Review of Anti-Money Laundering and Sanctions Policy and Enforcement
  • White & Case LLP
  • USA
  • January 18 2019

This anti-money laundering and sanctions review provides an overview and insights with respect to material developments in the United States


Volcker Rule: agencies propose to implement community bank exemption and revise name-sharing rule
  • Sidley Austin LLP
  • USA
  • January 18 2019

The five US federal agencies responsible for implementing the Volcker Rule have individually released, or are expected to release, a


U.S. LIBOR Replacement - A Briefing for Borrowers
  • Freshfields Bruckhaus Deringer
  • USA, United Kingdom
  • January 17 2019

The New York Federal Reserve Bank (the “Fed”) has worked for years to promote an alternative reference rate to replace US Dollar LIBOR (“LIBOR”) in


Uncleared Security-Based Swaps: SEC Proposes Rules Requiring the Application of Risk Mitigation Techniques to Uncleared Portfolios of Security-Based Swaps
  • Sullivan & Cromwell LLP
  • USA
  • January 17 2019

On December 19, 2018, the Securities and Exchange Commission (“SEC”) proposed rules requiring the application of risk mitigation techniques to


International Capital Markets Review - Eighth Edition
  • VdA
  • Portugal, European Union
  • January 17 2019

The Portuguese economy has been recovering strongly since the end of the financial crisis and the successful conclusion of the Financial Assistance