Daniel A. Nathan

Daniel A. Nathan

Morrison & Foerster LLP

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Investment Management Legal + Regulatory Update -- September 2014

In This Issue: - Regulation: Long-Awaited Money Market Fund Rules Adopted - SEC Staff Offers Guidance Regarding Investment Advisers and Proxy Advisory Firms - SEC Staff Closes Loophole on BDC Asset...more

9/17/2014 - Banks CFTC Conflicts of Interest CPO Dodd-Frank Enforcement Actions FINRA Hedge Funds Investment Adviser Liquidity Fees Money Market Funds Municipal Advisers NAV Pay-To-Play Proxy Advisors Redemption Gates SEC Strategic Enforcement Plan Whistleblowers

CFTC Again Charges Civil Perjury – This Time for Statements Made in an Off-the-Record Interview

On January 2, 2014, the US Commodity Futures Trading Commission (CFTC) ordered a Russian foreign national to pay a $250,000 civil penalty for making false and misleading statements to CFTC staff in an interview during an...more

1/14/2014 - CFTC Commodities Exchange Act Dodd-Frank False Statements Off-the-Record Perjury

CFTC Proposes Speculative Position Limits – Again

On November 5, 2013, the Commodity Futures Trading Commission (“CFTC” or “Commission”) proposed new speculative position limits. The proposal (“New Proposal”) would establish spot-month and non-spot-month limits for 28 core...more

11/20/2013 - CFTC Compliance Dodd-Frank Futures Position Limits

The CFTC Charges Civil Perjury, Even After the Witness Comes Clean

According to a recent case, a witness in a Commodity Futures Trading Commission (CFTC) investigation could be similarly condemned to oblivion – or at least enforcement action and a hefty fine – for giving false testimony,...more

9/24/2013 - CFTC False Statements Lying Perjury Witness

Hurricane Sandy Redux: Agencies Recommend Business Continuity Planning

As hurricane season approaches, the securities and commodities industries’ principal regulators are effectively encouraging firms to do the equivalent of putting up storm shutters, stocking up on batteries and bottled water,...more

8/22/2013 - CFTC FINRA Hurricane Sandy Natural Disasters Risk Management SEC

SEC and CFTC Issue Identity Theft Rules

Today, April 19, 2013, the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) published in the Federal Register rules and guidelines requiring their respective regulated financial...more

4/22/2013 - CFTC Cybersecurity Data Protection Dodd-Frank FCRA Identity Theft SEC

Enforcement Heads Reveal All at SIFMA Annual Seminar

The federal budget sequester and recent Supreme Court decision in Gabelli et al. v. Securities and Exchange Commission, 568 U.S. ____ (2013), will not substantially slow down regulators’ enforcement efforts, according to...more

3/25/2013 - CFTC FINRA Gabelli v SEC Insider Trading SEC Sequestration SIFMA Structured Financial Products

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