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548 results found


Katten Muchin Rosenman LLP | USA | 1 Jun 2018

Regulators Propose Changes to Volcker Rule

On May 30, the five Federal regulators responsible for the Volcker Rule approved the publication for comment of numerous proposed changes to the rule


K&L Gates | USA | 3 Jan 2018

NFA Proposes Interpretive Notice Addressing CPO Internal Controls

By letter dated December 10, 2018, the National Futures Association (“NFA”), the self-regulatory organization for the U.S. derivatives industry


K&L Gates | USA | 30 Oct 2017

Treasury Reports Continue to Inform Dodd-Frank Reform Efforts

On October 26, 2017, the U.S. Department of the Treasury (the “Treasury”) released a report entitled “A Financial System That Creates Economic


K&L Gates | USA | 6 Feb 2017

CFTC Permits Unaudited Financial Statements Upon Liquidation of a Series of a Pool That is Also a Registered Investment Company

The Commodity Futures Trading Commission (“CFTC” or “Commission”) has provided general exemptive relief to persons registered as commodity pool


Sullivan & Cromwell LLP | USA | 19 Oct 2016

CFTC Proposes Rules on Cross-Border Application of Swap Provisions

On October 11, 2016, the Commodity Futures Trading Commission (the "CFTC" or "Commission") voted unanimously to propose rules and interpretations


Morgan Lewis | USA | 15 Sep 2016

NFA Proposal Would Require CFTC-Registered Asset Managers to Report on Financial Condition

NFA recently proposed enhanced financial reporting obligations (2016 Proposal) for commodity pool operators and commodity trading advisors that are


K&L Gates | USA | 7 Sep 2016

Recent CFTCNFA Regulatory Actions Affecting Commodity Pool Operators and Commodity Trading Advisors

During August 2016, the Commodity Futures Trading Commission (“CFTC” or “Commission”) and National Futures Association (“NFA”) published several


Katten Muchin Rosenman LLP | USA | 14 Aug 2016

Court Refuses to Dismiss Malpractice Claim Against MF Global Accountant

PriceWaterhouseCoopers LLP failed in its effort to have a federal court in New York City dismiss a malpractice claim brought against it by the plan


Katten Muchin Rosenman LLP | USA | 7 Feb 2016

Senate Agriculture Committee Seeks More Information on CFTC Accounting Practices

The US Senate's Committee on Agriculture, Nutrition and Forestry wrote a letter to the Commodity Futures Trading Commission requesting additional


Stinson LLP | USA | 6 May 2014

Auditors of Futures Commission Merchants: know the audit rules or you will be fined

A recent $100,000 settlement between the Commodity Futures Trading Commission (CFTC) and an accounting firm highlights for accounting firms

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