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497 results found

Article

Morgan Lewis | USA | 17 Jul 2018

CFTC, SEC Sign New Memorandum of Understanding on Information Sharing

The US Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) collectively the Commissionsannounced

Article

Katten Muchin Rosenman LLP | USA | 23 Feb 2017

SEC Whistleblower Protection: Recent Cautionary Tales and New Best Practices

Although 2017 has barely begun, the Securities and Exchange Commission (SEC) has continued to aggressively pursue enforcement actions against

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

Sullivan & Cromwell LLP | USA | 8 Sep 2016

CFTC Issues Proposed Rules to Expand Its Whistleblower Authority

On August 30, 2016, the Commodity Futures Trading Commission (the “CFTC”) issued a notice of proposed rulemaking (the “Proposed Rules”) to amend its

Article

Katten Muchin Rosenman LLP | USA | 2 Sep 2016

SEC Adopts Amendments to Rules on Access to Data Obtained by Security-Based Swap Data Repositories

On August 29, the Securities and Exchange Commission announced the adoption of amendments to the Securities Exchange Act of 1934 (Exchange Act) Rule

Article

Sidley Austin LLP | USA | 21 Jul 2016

New case on front-running

The criminal complaint brought by the U.S. DOJ against currency traders marks another example of a “front running” case. In the complaint

Article

Katten Muchin Rosenman LLP | USA, United Kingdom | 20 Mar 2016

Former Chicago Fed Employee Pleads Guilty to Stealing Confidential Financial Data Prior To Leaving Position

Jeffrey Cho, a former Senior Supervision Analyst with the Federal Reserve Bank of Chicago, pleaded guilty to stealing approximately 35 documents

Article

Schulte Roth & Zabel LLP | USA | 1 Apr 2015

New CFTC Rules Formalize Whistleblower Protections for Employees of Hedge Fund Managers and Other Registrants

On May 22, 2017, the U.S. Commodity Futures Trading Commission amended and supplemented several CFTC regulations to strengthen anti-retaliation

Article

Allen & Overy LLP | USA | 15 Nov 2011

Peering over the hedge: the new US systemic risk reporting regime

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.

Article

Winston & Strawn LLP | USA | 7 Nov 2011

CFTC joins SEC in approving new private fund reporting rule

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.

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