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949 results found

Article

Jones Day | USA, Australia, Hong Kong, etc. | 14 Nov 2018

Blockchain for Business

As the interest in blockchain technology grows, companies will be confronted with numerous decisions, challenges, and legal issues pertaining to its

Article

Morgan Lewis | USA | 17 Jul 2018

CFTC, SEC Sign New Memorandum of Understanding on Information Sharing

The US Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) collectively the Commissionsannounced

Article

Cadwalader Wickersham & Taft LLP | USA | 26 Apr 2018

Choose One: Best Interest or Full Service

On April 18, the SEC approved the publication of three releases (the "Releases") proposing new regulatory requirements that are intended to expand and

Article

Winston & Strawn LLP | USA, United Kingdom, European Union | 5 Jun 2017

Financial Services Update, Vol. 12, Issue 22

On June 1, in the wake of the Department of Labor’s (“DOL”) announcement that it would not seek to delay further the June 9 effective date of the

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

Katten Muchin Rosenman LLP | USA | 12 Mar 2017

NFA Conforms Financial Requirements Regarding Withdrawals of FCM Residual Interest to Recent CFTC No-Action Letter

NFA proposed to amend its financial requirements to conform with a recent no-action letter issued by the Commodity Futures Trading Commission's

Article

Katten Muchin Rosenman LLP | USA | 12 Feb 2017

No-Action Relief Regarding CPO Delegations Penned by CFTC’s Division of Swap Dealer and Intermediary Oversight

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight authored four virtually identical no-action letters

Article

K&L Gates | USA | 6 Feb 2017

CFTC Permits Unaudited Financial Statements Upon Liquidation of a Series of a Pool That is Also a Registered Investment Company

The Commodity Futures Trading Commission (“CFTC” or “Commission”) has provided general exemptive relief to persons registered as commodity pool

Article

Wilmer Cutler Pickering Hale and Dorr LLP | USA | 20 Dec 2016

Regulators Implement Enhanced Oversight and Propose Transparency for the Treasury Market

On October 24, 2016, the Federal Reserve Bank of New York (FRBNY) held a conference on "The Evolving Structure of the US Treasury Market" (Conference)

Article

Sullivan & Cromwell LLP | USA | 19 Oct 2016

CFTC Proposes Rules on Cross-Border Application of Swap Provisions

On October 11, 2016, the Commodity Futures Trading Commission (the "CFTC" or "Commission") voted unanimously to propose rules and interpretations

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