NFA Proposes Requiring CTAs and CPOs to File Certain Financial Ratio Information: The National Futures Association submitted to the Commodity Futures Trading Commission for its approval a new requirement that would mandate...more
ESMA Says “No for Now” to Granting Passport Rights to US Fund Managers Under AIFMD:
The European Securities and Markets Authority told the European Commission last week that it was premature to grant passport rights to...more
8/4/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Australia ,
Broker-Dealer ,
Canada ,
CBOE ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
CME NYMEX ,
Dark Pool ,
Disruptive Trading Practices ,
Enforcement Actions ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Fund Managers ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Internal Controls ,
Japan ,
Securities and Exchange Commission (SEC) ,
Virtual Currency ,
Wash Trades
Europe and US Receive Good Grades for PFMI Implementation; Japan Receives the Best Grade -
Regulators in the European Union, Japan and the United States have made “good progress” in implementing the Principles of...more