William Kane

William Kane

BakerHostetler

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Seventh Circuit Ruling Reaffirms: The Financial Industry Compliance Crackdown Continues

The need for risk and compliance officers is skyrocketing as lenders and financial market participants remain under strict scrutiny in the wake of the 2008 financial crisis. J. P. Morgan Chase & Co. recently announced plans...more

5/16/2014 - Compliance Enforcement Actions FINRA JPMorgan Chase SEC

D.C. Circuit Court Upholds Dodd-Frank Inspired CFTC Regulations Subjecting Mutual Funds That Invest in Commodities to CFTC...

In 2012, the Commodity Futures Trading Commission (CFTC), in response to Dodd-Frank, adopted new regulations to require mutual funds and other registered investment companies that exceed certain position levels in commodity...more

7/1/2013 - Administrative Procedure Act CEA CFTC CPO Dodd-Frank Investment Companies Mutual Funds Registration SEC

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