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668 results found


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


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


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


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


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


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


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


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) -


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


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”)

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