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Article

Holland & Hart LLP | USA | 7 Feb 2017

SEC Targets Severance Agreements That Impede Whistleblowers

The U.S. Securities and Exchange Commission (SEC) is cracking down on severance agreements that prohibit former employees from contacting regulators

Article

Steptoe & Johnson LLP | USA | 16 Aug 2016

Court Accepts FERC’s Fraud Theory and Confirms Defendants’ Discovery Rights in City Power Marketing

In a recent opinion denying the defendants’ motion to dismiss in FERC v. City Power Marketing, LLC, No. 1:15-cv-01428-JDB (D. D.C.), the district

Article

Winston & Strawn LLP | USA | 14 Nov 2011

SIPC trustee may investigate MF Global

On November 4th, the Federal Bankruptcy Court granted the SIPC Trustee's motion to establish procedures for the issuance of subpoenas for document production and depositions in connection with the SIPC Trustee's independent investigation into the business and affairs of MF Global.

Article

Ropes & Gray LLP | USA | 26 Aug 2011

CFTC approves anti-manipulation and anti-fraud rules

On August 15, 2011, the Commodity Futures Trading Commission’s final rules expanding its ability to pursue fraud and manipulation claims in connection with any futures, swaps, or “contracts of sale of any commodity in interstate commerce” took effect.

Article

Hogan Lovells | USA | 13 Jul 2011

CFTC issues final Dodd-Frank anti-manipulation rule

On 7 July 2011, the Commodity Futures Trading Commission (CFTC or Commission) unanimously approved five final Dodd-Frank rules.

Article

Winston & Strawn LLP | USA | 23 May 2011

CFTC codifies exemptive relief granted to listed commodity pools

On May 18th, the CFTC published amendments to its regulations for commodity pool operators ("CPOs") of commodity pools whose units of participation are listed and traded on a national securities exchange.

Article

McDermott Will & Emery | USA | 19 Apr 2011

FTC and CFTC to share confidential information, increases investigation risks

The U.S. Federal Trade Commission and the U.S. Commodity Futures Trading Commission signed a memorandum of understanding that will facilitate the sharing of non-public information for “official law enforcement purposes,” and increase investigation risks for firms.

Article

Pillsbury | USA | 14 Feb 2011

CFTC proposes rule to rescind CPO registration exemption widely used by private fund managers

The Commodity Futures Trading Commission (the "CFTC") recently issued a proposed rule regarding commodity pool operators ("CPOs") that would rescind the exemptions from CPO registration under CFTC Rules 4.

Article

King & Spalding LLP | USA | 29 Dec 2010

FinCEN publishes a final rule and interpretive guidance clarifying the scope of SARS confidentiality provisions

As part of the ongoing effort to increase efficiency and effectiveness of its anti-money laundering (AML) policies, on December 3, 2010, the Treasury Department's Financial Crimes Enforcement Network (FinCEN) published a Final Rule clarifying prohibitions against the disclosure of suspicious activity reports (SARs) and an Interpretive Guidance (Guidance) clarifying sharing of SARs by certain financial institutions with their affiliates.

Article

Katten Muchin Rosenman LLP | USA | 10 Sep 2010

CFTC proposes exemptions for commodity ETF operators

The Commodity Futures Trading Commission has proposed amendments to its Part 4 Rules to provide exemptions from certain requirements set forth in those rules with respect to the operation of "commodity ETFs," or pools for which the units of participation are sold in a registered public offering and listed for trading on a national securities exchange.

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