258 results found
DLA Piper | Asia-Pacific, Australia | 13 Jan 2017
The Financial Report, 13 January 2017, News from Asia and the Pacific
The FSA and the Bank of Japan, as well as the International Organization of Securities Commissions Asia-Pacific Regional Committee sent
Morgan Lewis | USA | 8 Nov 2011
Form PF will result in substantial reporting requirements for registered advisers to private funds
On October 26 and October 31, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC), respectively, approved rules that will require certain investment advisers to report extensive information to the SEC on Form PF about the private funds they advise.
Foley & Lardner LLP | USA | 29 Apr 2011
FERC Orders $30 Million Penalty
FERC recently issued an order affirming the initial decision of an administrative law judge and imposing a civil penalty of $30 million on Amaranth's lead trader, Brian Hunter, for his violation of FERC's anti-manipulation rules.
McDermott Will & Emery | European Union | 23 Sep 2010
EU financial reform
Recent EC proposals are likely to lead to the increased regulation of OTC derivatives markets in the European Union by the end of 2012.
Morgan Lewis | USA | 25 Jan 2010
FERC issues Initial Decision that former hedge fund trader violated market manipulation rule
On January 22, the Federal Energy Regulatory Commission (FERC) issued an Initial Decision determining that a former hedge fund trader violated FERC’s Anti-Manipulation Rule.
Dentons | USA, United Kingdom | 18 Sep 2009
FSA and CFTC agree new MoU
FSA and CFTC have signed a new MoU on supervision of cross-border clearing organisations.
Stikeman Elliott LLP | USA, United Kingdom | 17 Sep 2009
SEC and FSA discuss common approaches to regulatory issues
The U.S. Securities and Exchange Commission (SEC) and the U.K. Financial Services Authority (FSA) announced plans today "to explore common approaches to reporting and other regulatory requirements for key market participants such as hedge funds and their advisers."
Alston & Bird LLP | USA | 17 Jul 2009
House Committee on Financial Services on the Obama Administration’s financial regulatory reform proposals
Today, the House Committee on Financial Services held a hearing entitled "Industry Perspectives on the Obama Administration’s Financial Regulatory Reform Proposals" to discuss proposals for financial regulatory reform.
Katten Muchin Rosenman LLP | USA | 13 Feb 2009
Representative Peterson introduces the Derivatives Markets Transparency and Accountability Act of 2009
The House Agriculture Committee has approved an amended version of Chairman Collin Peterson’s Derivatives Markets Transparency and Accountability Act of 2009, H.R. 977.