The US Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) collectively the Commissionsannounced
Although 2017 has barely begun, the Securities and Exchange Commission (SEC) has continued to aggressively pursue enforcement actions against
The U.S. Securities and Exchange Commission (SEC) is cracking down on severance agreements that prohibit former employees from contacting regulators
On August 30, 2016, the Commodity Futures Trading Commission (the “CFTC”) issued a notice of proposed rulemaking (the “Proposed Rules”) to amend its
On August 29, the Securities and Exchange Commission announced the adoption of amendments to the Securities Exchange Act of 1934 (Exchange Act) Rule
The criminal complaint brought by the U.S. DOJ against currency traders marks another example of a “front running” case. In the complaint
Jeffrey Cho, a former Senior Supervision Analyst with the Federal Reserve Bank of Chicago, pleaded guilty to stealing approximately 35 documents
On May 22, 2017, the U.S. Commodity Futures Trading Commission amended and supplemented several CFTC regulations to strengthen anti-retaliation
The U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) recently adopted a joint Final Rule (the Final Rule) requiring advisers to private funds to periodically report information about themselves and their funds to the SEC on Form PF.
On October 31st, the CFTC approved a final rule requiring certain advisors to private funds that are dually registered with the CFTC and the SEC to report information to the SEC for use by the Financial Stability Oversight Council in monitoring risks to the U.S. financial system.