In this issue:
- Court of Appeals for Third Circuit Overturns District Court Ruling Regarding Exclusion of Shareholder Proposal From Proxy Statement
- FINRA Updates Its Interpretation of the SEC's Financial...more
7/20/2015
/ Carried Interest ,
CFTC ,
CPOs ,
DSIO ,
Financial Industry Regulatory Authority (FINRA) ,
Forward Contracts ,
Oil & Gas ,
Price Manipulation ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Shareholder Proposals ,
Shareholders ,
UK
The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission has issued permanent no-action relief from the filing deadline for chief compliance officer (CCO) annual reports....more
The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission has issued no-action relief to swap dealers (SDs) from certain business conduct standards in dealing with...more
In This Issue:
- CFTC Extends Portfolio Margining on ICE Clear Europe
- CFTC Extends CCO Report Filing Deadline
- CFTC Issues Relief to Swap Dealers Regarding Legacy SPV Swaps
- CME Updates Order...more
4/6/2015
/ Annual Reports ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Chief Compliance Officers ,
Class Action ,
DSIO ,
European Securities and Markets Authority (ESMA) ,
Filing Deadlines ,
Futures Commission Merchants (FCMs) ,
KBR (formerly Kellogg Brown & Root) ,
Major Swap Participants ,
Order Routing ,
Securities and Exchange Commission (SEC) ,
SPVs ,
Whistleblowers
The Division of Market Oversight (DMO) and Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission have issued an advisory on ownership and control reporting (OCR) for futures...more
On November 25, 2014, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued a no-action letter permitting the chief compliance officer (CCO) of a provisionally registered...more
The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission has issued no-action relief and interpretive guidance for futures commission merchants (FCMs) with customers that trade...more
The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) granted no-action relief from the proviso in CFTC Regulation 1.57(a)(1), which requires an introducing broker (IB) that has...more
The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) has delayed until January 14, 2014 the effectiveness its Advisory 13-69 issued on November 14 in which it took the position...more
The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) has granted no-action relief from certain reporting obligations to commodity pool operators (CPOs) of registered investment...more
CFTC Grants No-Action Relief to SDs and MSPs Regarding Relationship Documentation and Business Conduct -
The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission issued...more