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9,376 results found

Article

Winston & Strawn LLP | USA, European Union | 15 Jul 2019

Financial Services Update, Vol. 14, Issue 26

In preparation for the September 10, 2019, effective date of the Securities and Exchange Commission’s (“SEC”) Regulation Best Interest

Article

Ropes & Gray LLP | USA | 15 Jul 2019

Recent CFTC Enforcement Action against Non-U.S. Fund Manager for Violation of U.S. Position Limits Highlights Traps for Unwary

On July 2, 2019, the United States Commodity Futures Trading Commission (“CFTC”) issued an order (the “Order”) filing and simultaneously settling

Article

Ropes & Gray LLP | USA | 15 Jul 2019

Recent CFTC Enforcement Action against Non-U.S. Fund Manager for Violation of U.S. Position Limits Highlights Traps for Unwary

On July 2, 2019, the United States Commodity Futures Trading Commission ("CFTC") issued an order (the "Order") filing and simultaneously settling

Article

Paul Hastings LLP | USA, Global | 15 Jul 2019

PH Money Matters: This Week in Washington - July 15, 2019

Labor Secretary Alex Acosta resigned his position on Friday, after media reports led to increased scrutiny of a plea deal he struck

Article

DLA Piper | USA | 15 Jul 2019

Bank Regulatory News and Trends

The three main federal bank regulatory agencies have issued new simplified regulatory Capital Rules, finalizing a plan first proposed in 2017. The

Article

Katten Muchin Rosenman LLP | USA | 14 Jul 2019

International Exchange Sanctioned by CFTC for False Certification Regarding Compliance With Exemptive Order

The Korea Exchange, Inc. agreed to pay a fine of US $150,000 to resolve charges that it falsely told the Commodity Futures Trading Commission that it

Article

Katten Muchin Rosenman LLP | USA | 14 Jul 2019

One One No Longer Equals One - CFTC Staff Offers Path for FCMs to Treat Separate Accounts of Single Customer as Separate Accounts of Distinct Entities

Staff of the Commodity Futures Trading Commission issued an advisory authorizing derivatives clearing organizations to permit their futures

Article

Katten Muchin Rosenman LLP | USA | 14 Jul 2019

Proposed CFTC Rule to Exempt Certain Non-US CCPs From DCO Registration Draws Strong Dissent From Two Commissioners and One Mild Expression of Skepticism

The Commodity Futures Trading Commission issued two proposals related to non-US-based derivatives clearing organizations. Under one proposal

Article

Dillon Eustace | USA, United Kingdom, European Union, etc. | 14 Jul 2019

Investment Firms Quarterly Legal and Regulatory Update Period covered: 1 April 30 June 2019

Commission Implementing Decision recognising certain Singapore derivatives trading venues under MiFIR published in the Official Journal of the

Article

Katten Muchin Rosenman LLP | USA, Japan | 14 Jul 2019

Japan FSA and US CFTC Agree to Authorize Eligible Local Nationals to Trade Swaps on Other’s Registered Trading Facilities Based on Regulation Comparability Determination

The Commodity Futures Trading Commission exempted certain Japan-based electronic trading platforms that offer derivatives trading from registration

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