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9,330 results found

Article

McGuireWoods Consulting LLC | USA | 6 Jun 2019

Emerging Technologies Washington Update- Jun 6, 2019

This Week: House Judiciary Committee to probe competition in digital markets, House and Senate Committees examine the state of the media marketplace

Article

Ropes & Gray LLP | USA | 5 Jun 2019

Ropes & Gray’s Investment Management Update - April-May 2019

As we prepared this Update for distribution, at its June 5 meeting, the SEC finalized or published the following items. These items will be the

Article

Jones Day | USA | 4 Jun 2019

Additional CDS Documentation Reforms On the Way

ISDA proposes "de facto" category of original issue indebtedness as part of its CDS definitional reforms....

Article

Baker & Hostetler LLP | USA | 3 Jun 2019

The Weekly Hill Update

Below is the Federal Policy team’s weekly preview, published when Congress is in session

Article

Cadwalader Wickersham & Taft LLP | USA | 3 Jun 2019

Security-Based Swaps Meet Rule 15a-6 - Potential New Exemptions for Security-Based Swaps and SBSDs

The Securities and Exchange Commission (the “SEC”) has proposed a number of amendments to its rules and guidance governing security-based-swaps

Article

Winston & Strawn LLP | USA, European Union | 3 Jun 2019

Financial Services Update, vol.14, issue 21.

On May 23, 2019, the Office of Compliance Inspections and Examinations (“OCIE”) of the SEC issued a risk alert (the “Risk Alert”) to provide

Article

Think Defense APLC | USA | 1 Jun 2019

CFTC Publishes Enforcement Manual for First Time

On May 8, the Enforcement Division of the Commodity Futures Trading Commission published its Enforcement Manual for the first time. The Manual’s

Article

Wilmer Cutler Pickering Hale and Dorr LLP | USA | 28 May 2019

New Joint Audit Committee Regulatory Alerts Regarding Margining of Multiple Accounts With FCMs and Non-Recourse Provisions

On May 14, 2019, the Joint Audit Committee (JAC)1 issued two regulatory alerts calling for futures commission merchants (FCMs) to review policies and

Article

Hogan Lovells | USA | 27 May 2019

Court expresses concern with government's outsourcing of corporate internal investigations

A court has expressed concern with the government's "routine outsourcing" of investigations to the targets of those investigations seeking cooperation

Article

Katten Muchin Rosenman LLP | USA | 24 May 2019

Proposed Amendments to NFA Bylaw 1301 Regarding the Schedule of Dues and Assessments

On May 21, the National Futures Association (NFA) submitted to the Commodity Futures Trading Commission proposed amendments to NFA Bylaw 1301