In this issue:
- NASDAQ Proposes Internal Audit Function Requirement for Listed Issuers
- FINRA’s Frequently Asked Questions on Electronic Blue Sheet Submissions Updated Regarding Order Execution Time
- Cayman Islands to Enter into a Model 1 IGA
- CFTC Grants Relief from Required Clearing for Swaps Resulting from Multilateral Portfolio Compression
- CFTC Grants Relief from Required Clearing for Partial Novation and Partial Termination of Swaps
- Court Rules FERC Does Not Have Authority to Fine Trader for Manipulation of Futures Contracts
- SEC Publishes Guidance on Filing Requirements for Interactive Content
- Court Rejects “Core Operations” Theory of Scienter in Battery Manufacturer Fraud Case
- SEC Oversight of FINRA Exempt from FOIA Request
- Banking Agencies Issue Guidance on Leveraged Lending
- Agencies Release Proposed Revisions to Interagency Questions and Answers Regarding Community Reinvestment
- FSA Publishes Second AIFMD Consultation Paper
- ESMA Publishes EMIR Q&As
- Excerpt from ESMA Publishes EMIR Q&As:
On March 20, the European Securities and Markets Authority (ESMA) published Questions & Answers (Q&A) relating to the implementation of the Regulation on OTC Derivatives, Central Counterparties (CCPs) and Trade Repositories (Regulation EU 648/2012, generally known as EMIR).
Please see full newsletter below for more information.
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Topics: AIFMD, Audits, Broker-Dealer, CFTC, EMIR, ESMA, EU, FERC, Financial Services Authority, FINRA, FOIA, Futures, Intergovernmental Agreements, Investment Adviser, Leveraged Loans, Mandatory Clearing Requirements, Nasdaq, Novation, Scienter, SEC, Swaps
Published In: General Business Updates, Energy & Utilities Updates, Finance & Banking Updates, International Trade Updates, Securities Updates
DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.
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