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Commodities Futures Trading Commission Hong Kong Securities and Futures Commission (HKSFC)

The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from... more +
The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from fraud, abuse, and systemic risk associated with derivatives subject to the Commodities Exchange Act. In 2010, as a result of the Frank-Dodd Wall Street Reform and Consumer Protection, the Commission’s role was expanded to include drafting rules for regulating the swaps marketplace. less -
Katten Muchin Rosenman LLP

Bridging The Week - January 2020

It was not part of the recently concluded Golden Globes ceremony, but last week both the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations and the Financial Industry Regulatory Authority...more

Polsinelli

BitBlog Weekly Update

Polsinelli on

This BitBlog summary focuses on the continuing actions by the U.S. Securities and Exchange Commission (“SEC”) against the issuers of noncompliant initial coin offerings (“ICOs”) and other crypto related transactions including...more

Latham & Watkins LLP

Global Developments on Best Execution

Latham & Watkins LLP on

Best execution is currently a hot topic for global regulators and the past year has seen notable regulatory focus in this area. Amid this development, firms are recommended to review their global best execution compliance...more

Katten Muchin Rosenman LLP

Bridging the Week - March 2017 #3

CFTC Chairman Nominee Warns of Tough Love to Come: KISS But Also Aggressive and Assertive Enforcement: In a speech last week before an assembly of industry executives at FIA’s annual Boca Raton conference, J. Christopher...more

A&O Shearman

Bitcoin theft highlights cryptocurrency regulatory uncertainty

A&O Shearman on

The recent suspension of trading on Hong Kong based Bitcoin exchange Bitfinex following the apparent theft of approximately US$60m worth of bitcoins is the latest in a series of Bitcoin thefts. With Bitcoin still in its...more

Katten Muchin Rosenman LLP

Bridging the Week - January 2016

Former MF Global CEO Claims CFTC Charges Against Him Are Meritless. Jon Corzine, former chief executive officer of MF Global Inc. (MFG), objected to a proposed motion for summary judgment to be filed by the Division of...more

Katten Muchin Rosenman LLP

HKSFC Issues Circular on Application Process for Exemptive Relief Under CFTC Regulation 30.10

On August 13, the Hong Kong Securities and Futures Commission (HKSFC) issued a circular describing the application procedure for certain licensed corporations to deal directly with customers in the United States pursuant to...more

Katten Muchin Rosenman LLP

Bridging the Week - August 2015 #2

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

Katten Muchin Rosenman LLP

Bridging the Week - August 2015

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

Katten Muchin Rosenman LLP

CFTC Issues an Exemption to HKSFC Permitting US Customers to Deal Directly with Hong Kong Brokers

On March 19, the Commodity Futures Trading Commission issued an exemption to Hong Kong Securities and Futures Commission (HKSFC) permitting US customers to deal directly with Hong Kong brokers pursuant to CFTC Regulation...more

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