We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search

Refine your search

Content type
Tags
Firm name
Author
Jurisdiction

668 results found

Article

Pillsbury | USA, United Kingdom, OECD, etc. | 12 Mar 2018

Annual Compliance Obligations What you Need to Know

This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with

Article

Sidley Austin LLP | USA | 28 Feb 2018

2018 Update for Investment Advisers Important Annual Requirements; 2018 SEC Exam Priorities; Recent SEC Enforcement Initiatives

Investment advisers registered with the Securities and Exchange Commission (SEC) (each, an RIA) are subject to certain annual requirements under the

Article

Barnes & Thornburg LLP | USA | 19 Feb 2018

Cybersecurity: CFTC Brings Enforcement Action For Faulty IT System

This past week, the Commodity Futures Trading Commission (CFTC) settled an enforcement action in which it had alleged that Futures Commission

Article

Vedder Price PC | USA | 16 Feb 2018

Annual Compliance Obligation Reminders

Investment advisers registered with the U.S. Securities and Exchange Commission (“SEC”) or with a state (“Advisers”) as well as commodity pool

Article

Katten Muchin Rosenman LLP | USA | 17 Dec 2017

Compensation for Trading Advice Solely Incidental to Business of FCMs, SDs or IBs Does Not Implicate CTA Registration Requirements

The Commodity Futures Trading Commission issued an interpretive guidance indicating that receipt of separate compensation by a futures commission

Article

Katten Muchin Rosenman LLP | USA | 15 Dec 2017

CFTC Staff Issues Interpretive Guidance Clarifying Commodity Trading Advisor Registration Requirements Resulting from the European Union’s MiFID II Research Compensation Provisions for Investment Managers

On December 11, at the request of the Futures Industry Association (FIA), the Commodity Futures Trading Commission's Division of Swap Dealer and

Article

Katten Muchin Rosenman LLP | USA | 18 Aug 2017

CFTC Suspends Need of Formal Notice for Position Disaggregation Relief

On August 10, the Commodity Futures Trading Commission (the CFTC) issued no-action relief, eliminating the need for certain persons otherwise

Article

Dechert LLP | USA, Global | 26 Jun 2017

U.S. CFTC Takes Steps to Modernize Rules and Operations and to Reduce Regulatory Burdens

Against a backdrop of changing markets, rapidly evolving technology and increased jurisdiction, the U.S. Commodity Futures Trading Commission (CFTC) -

Article

Haynes and Boone LLP | USA | 23 May 2017

12 Keys to Compliance for Participants in Commodity Markets

In this article we outline 12 key elements that are critical components of a rock-solid compliance program for participants in commodity markets. We

Article

K&L Gates | USA | 11 May 2017

CFTC Permits CTAs to Use Third-Party Recordkeepers; Notice Filing Required

On April 20, 2017, the staff of the Division of Swap Dealer and Intermediary Oversight (“DSIO”) of the Commodity Futures Trading Commission (“CFTC”)

Previous page 1 2 3 ...