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637 results found

Article

Eversheds Sutherland (US) LLP | USA | 18 Mar 2019

NFA proposes proficiency requirements for Swap APs

On March 5, 2019, the National Futures Association (NFA) submitted to the Commodity Futures Trading Commission (CFTC or Commission) proposed

Article

Ropes & Gray LLP | USA | 8 Feb 2019

Ropes & Gray’s Investment Management Update - December 2018-January 2019

On December 18, 2018, the SEC issued an order in an administrative proceeding against an investment adviser (the “Adviser”) for its alleged

Article

Morrison & Foerster LLP | USA | 20 Feb 2018

Banking & Project Finance US Regulatory Rollback: Tinkering, tailoring and drama

The new administration began with a roar of regulatory rollback enthusiasm amidst calls for the repeal of the DoddFrank Act. This early zeal for

Article

Hunton Andrews Kurth LLP | USA | 27 Nov 2017

Allegations of Unlawful Business Practices Survive in Stockholder's Derivative Suit

A Delaware court recently allowed a stockholder's derivative complaint to proceed where the board of directors allegedly breached their duty of

Article

Sullivan & Cromwell LLP | USA | 11 May 2017

CFTC Proposes to Amend CCO Rules - CFTC Proposes Amendments to Chief Compliance Officer Duties and Annual Reports

On May 3, 2017, the Commodity Futures Trading Commission (the "CFTC") announced proposed amendments to its rules governing the duties of chief

Article

Shearman & Sterling LLP | USA | 29 Sep 2016

US Commodity Future Trading Commission Staff Issues Advisory Clarifying Chief Compliance Officer Reporting Line Requirements

On July 25, 2016, the CFTC's Division of Swap Dealer and Intermediary Oversight issued a staff advisory regarding chief compliance officer reporting

Article

K&L Gates | USA | 18 Aug 2016

Impact of Pay-to-Play Rules in the 2016 Election Cycle

The federal Pay-to-Play Rules may impact campaign contributions in the 2016 election and, in particular, campaign contributions to a major party’s

Article

Vedder Price PC | USA | 13 Jun 2014

CFTC and NFA regulatory updates

On May 12, 2014, the Division of Swap Dealer and Intermediary Oversight of the CFTC issued staff letter 14-69 setting forth the criteria for seeking

Article

Stinson LLP | USA | 7 Aug 2012

Public company board approval for uncleared swaps

The CFTC has approved its final rule on the so-called “end-user exception” to the Dodd-Frank Act’s mandatory clearing requirement applicable to swaps required to be cleared (roughly, standardized swaps).

Article

Stinson LLP | USA | 11 Oct 2011

Proposed Volker Rule entails significant compliance programs

The Federal Deposit Insurance Corporation requested public comment on a proposed regulation implementing the so-called “Volcker Rule” requirements of section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

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