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344 results found


Baker McKenzie | USA, Singapore, European Union | 10 Apr 2019

Mutual Recognition for Singapore and US, EU Derivatives Trading Venues

Exercising its powers under the Securities and Futures Act (SFA), the Monetary Authority of Singapore (MAS) recently passed the: to respectively


Schulte Roth & Zabel LLP | USA | 7 Apr 2018

New FINRA Registration Requirement for Algo Traders Implications for broker dealers and investment advisers

On 7 April 2016, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority's proposed amendments to NASD Rule 1032


Hogan Lovells | USA | 5 Jan 2018

SEC warns investors of cryptocurrency risk

The U.S. Securities and Exchange Commission (SEC) has warned that investors should "exercise caution" with cryptocurrencies such as


Herbert Smith Freehills LLP | European Union, France | 26 Oct 2017

Reform of French securitisation law and creation of specialized financing vehicles

The reform of the French securitisation legislation announced by the Government throughout the implementation of 'Sapin 2 Law' has been published on


Baker McKenzie | USA | 25 Aug 2017

Market Compliance Corner August 2017

Chairman Clayton Lays Out Guiding Principles for His Tenure as SEC Chair Prioritizing the evolution of regulation with markets, Jay Clayton announces


Herbert Smith Freehills LLP | Singapore | 22 Jun 2017

MAS consults on draft regulations pursuant to the Securities and Futures Act

The Monetary Authority of Singapore (MAS) recently published two consultation papers on 28 April 2017 and 26 May 2017 (together, the


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


Katten Muchin Rosenman LLP | United Kingdom, European Union | 14 Apr 2017

CFTC Releases No-Action Letter Regarding the Transfer of Customer-Owned Securities by FCMs to Foreign Brokers

On April 11, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediate Oversight (DSIO) made publicly available No-Action


Katten Muchin Rosenman LLP | USA | 2 Apr 2017

Price Protection Is Price Protection Is Price Protection - Unless It’s FCM Activity Says CFTC

Davisco Foods International, Inc., an international cheese and food ingredient company headquartered in Le Sueur, Minnesota, agreed to settle a


DLA Piper | Australia, Singapore, Hong Kong, etc. | 9 Mar 2017

The Financial Report, March 09 2017, News from Asia and the Pacific

Report published on ensuring fair and timely disclosure of information to investors. The FSA announced that the Task Force on Fair Disclosure

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