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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


Pillsbury | USA | 6 Jun 2017

7th Circuit Discusses Equitable Tolling

Seeking regulatory relief from even an exotic statute like the the Commodity Exchange Act requires adherence to the relevant provisions of the law


Pillsbury | USA | 23 May 2017

CFTC Unanimously Approves Amendments to Recordkeeping Requirements

In a press release today, The U.S. Commodity Futures Trading Commission (the “Commission”) unanimously approved a final rule amending Regulation 1.31


Pillsbury | USA, United Kingdom, European Union | 16 Feb 2017

Registered Firms: Annual Compliance Obligations-- What you need to know

The following are some of the important annual compliance obligations investment advisers either registered with the Securities and Exchange


Pillsbury | USA | 7 Jun 2016

CFTC Asserts Broader Jurisdiction over Digital Asset Exchanges, Levies $75,000 Fine

The CFTC’s recent enforcement against Bitfinex’s financed trading activities demonstrates the Commission’s increasing interest in virtual currency


Pillsbury | USA | 4 May 2016

When Attorneys General Attack Cybersecurity Investigations and Related Insurance Coverage Issues

Are criminal cyberattacks increasing in sophistication and frequency? Yes. Is every company, in every industry, that collects or stores sensitive


Pillsbury | USA | 16 Mar 2016

CFTC Amends the Trade Option Exemption to Eliminate Reporting and Recordkeeping Requirements for Certain End-Users

The CFTC has approved a final rule that removes reporting and recordkeeping requirements for trade option counterparties that are neither swap dealers


Pillsbury | USA | 10 Dec 2015

CFTC Issued Preliminary Report on Swap Dealer De Minimis Exception

On November 18, 2015, the staff from the U.S. Commodity Futures Trading Commission's ("CFTC") Division of Swap Dealer and Intermediary Oversight


Pillsbury | USA | 23 Nov 2015

Following a regulatory trend, CFTC inches towards cybersecurity testing requirements

Commodity Futures Trading Commission (CFTC) Chairman Timothy Massad has recently stated that the CFTC may soon issue principles-based standards that


Pillsbury | USA | 6 Feb 2015

Reminder March 2, 2015 annual CFTC exemption affirmation deadline

Certain Commodity Futures Trading Commission (CFTC) exemptions require annual affirmation, including CPO exemptions under Regulation 4.5, 4.13(a)(1)

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