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Dechert LLP | USA | 15 Mar 2023
Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Private Funds
The U.S. federal securities laws, the Commodity Exchange Act and regulations thereunder, and certain other applicable federal laws, rules and…
Cadwalader Wickersham & Taft LLP | USA | 15 Mar 2023
SVB and Signature Bank Resolution - CFTC-Related Implications
Many of the transactions involving qualified financial contracts (“QFC”) with Silicon Valley Bank (“SVB”) and Signature Bank constitute Commodity…
Fried Frank Harris Shriver & Jacobson LLP | USA | 7 Mar 2023
NFA Proposes to Regulate Members' Services in Digital Assets
NFA submitted for adoption CFTC Compliance Rule 2-51 ("Requirements for Members and Associates Engaged in Activities Involving Digital Asset…
Fried Frank Harris Shriver & Jacobson LLP | USA | 2 Mar 2023
IB Fined for Interpositioning
An introducing broker and two of its personnel settled NFA charges for acting without a "bona fide reason" for placing a favored customer as a…
Fried Frank Harris Shriver & Jacobson LLP | USA | 2 Mar 2023
FCM Settles NFA Charges Related to Outsourced Recordkeeping
A CFTC-registered Futures Commission merchant ("FCM") settled NFA charges for recordkeeping, reporting, disclosure and supervision failures. In its…
Cadwalader Wickersham & Taft LLP | USA | 9 Feb 2023
InDepth: CFTC’s Regulatory Priorities for 2023
Much like taxes and mortality, it is certain that during 2023 the U.S. Commodity Futures Trading Commission (“CFTC”) will promulgate new rules, issue…
Fried Frank Harris Shriver & Jacobson LLP | USA | 24 Jan 2023
Reminder: CPO and CTA Annual Affirmation Requirement
The Commodity Futures Trading Commission (“CFTC”) requires any person that claims: (1) an exemption from commodity pool operator (“CPO”) registration…
Fried Frank Harris Shriver & Jacobson LLP | USA | 12 Jan 2023
Swap Dealer Agrees to Pay $1 Million to Settle Initial Margin Violations
A swap dealer settled NFA charges for disclosure, risk management, recordkeeping and supervision violations relating to the firm's value-at-risk and…
Paul, Weiss, Rifkind, Wharton & Garrison LLP | USA | 10 Jan 2023
Private Funds Regulatory Compliance Calendar 2023
This Regulatory Compliance Calendar for 2023 is being furnished on a confidential basis exclusively to certain clients of Paul, Weiss and is not for…
Katten Muchin Rosenman LLP | USA | 11 Dec 2022
Public Companies with Exposure to Crypto Markets After FTX Collapse: To Disclose or Not to Disclose - You Better Disclose if Material, Says SEC Staff
The recent collapse of FTX and other companies transacting in cryptoassets prompted staff of the U.S. Securities and Exchange Commission to advise…
