In this issue:
- SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft
- CME Block Trade Advisories Clarify Nonpublic Information Restrictions
- CFTC Staff Issues No-Action Letters
- CFTC Issues Proposed Rule to Clarify Responsibilities of Clerical Employees of SDs and MSPs
- ICE Clear Europe Authorized to Portfolio Margin Swaps and Security-Based Swaps
- Second Circuit Bars Criminal Defendant from Accessing Assets Frozen by Regulators
- Excerpt from: Second Circuit Bars Criminal Defendant from Accessing Assets Frozen by Regulators:
The US Court of Appeals for the Second Circuit recently upheld a district court’s refusal to release nearly $4 million in assets frozen by the Securities and Exchange Commission and the Commodity Futures Trading Commission to help a defendant fund his criminal defense.
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Topics: CFTC, CME, End-Users, Frozen Assets, ICE, Identity Theft, Investors, Major Swap Participants, No-Action Letters, Reporting Requirements, SEC, Security-Based Swaps, Swap Dealers, Swaps
Published In: Civil Procedure Updates, Criminal Law 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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