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74 results found

Article

Katten Muchin Rosenman LLP | USA | 10 May 2019

CFTC Division of Enforcement Issues Public Enforcement Manual

On May 8, the Division of Enforcement (the “Division”) of the Commodity Futures Trading Commission issued its first public enforcement manual (the

Article

Katten Muchin Rosenman LLP | Singapore | 15 Mar 2019

CFTC and Monetary Authority of Singapore Issue Joint Statement Regarding the Mutual Recognition of Certain Derivatives Trading Venues in the United States and Singapore

On March 13, the Commodity Futures Trading Commission and the Monetary Authority of Singapore (MAS) issued a joint statement announcing their mutual

Article

Katten Muchin Rosenman LLP | USA | 14 Dec 2018

CFTC Issues Request for Input on Crypto-Assets

As part of its LabCFTC initiative, the Commodity Futures Trading Commission issued a Request for Input (RFI) to deepen the CFTC’s understanding of

Article

Katten Muchin Rosenman LLP | USA | 14 Dec 2018

NFA Proposes Interpretive Notice Regarding CPO Internal Controls Systems

On December 10, the National Futures Association (NFA) submitted to the Commodity Futures Trading Commission a proposed Interpretive Notice to NFA

Article

Katten Muchin Rosenman LLP | USA | 7 Dec 2018

NFA Proposes To Amend Interpretive Notice on Information Systems Security Programs

National Futures Association (NFA) has proposed to amend its interpretive notice on information systems security programs (ISSPs) to further clarify

Article

Katten Muchin Rosenman LLP | USA | 7 Dec 2018

CFTC Proposes To Amend Annual Privacy Notice Requirement

The Commodity Futures Trading Commission has proposed to amend its regulations to eliminate the requirement for registered firms to provide annual

Article

Katten Muchin Rosenman LLP | USA | 7 Dec 2018

CFTC Grants Exemption From SEF Registration to Four Additional MTFs

The Commodity Futures Trading Commission has amended its order granting an exemption from swap execution facility (SEF) registration to include four

Article

Katten Muchin Rosenman LLP | USA, United Kingdom, European Union | 2 Nov 2018

Corporate & Financial Weekly Digest, Featuring Articles on Swaps, CFTC Initial Margin Phase 5, Brexit, and EU Obligations of Depositaries

On October 31, the Securities and Exchange Commission took an unusual additional step towards implementing its rules for security-based swaps (SBS)

Article

Katten Muchin Rosenman LLP | USA | 12 Oct 2018

CFTC Approves Proposed Regulations for CPOs and CTAs

On October 9, the Commodity Futures Trading Commission approved proposed rules intended to simplify regulations for commodity pool operators (CPOs)

Article

Katten Muchin Rosenman LLP | USA | 11 Oct 2018

SEC Charges Broker-DealerAdviser With Inadequate Cybersecurity Procedures

On September 26, the Securities and Exchange Commission (SEC) charged a dually registered broker-dealer and investment adviser (the "Registrant") with

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