News & Analysis as of September 24, 2024

Cybersecurity › Futures Commission Merchants (FCMs)

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

Broker Dealer Regulatory Digest - November 2023

Davis Wright Tremaine LLP on 10/30/2023

Editor's Note - The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency,...more

Update to the NFA’s ISSP training, approval and notice requirements

Eversheds Sutherland (US) LLP on 1/31/2019

On January 7, 2019, the National Futures Association (NFA) issued an amendment to its Interpretive Notice on required Information Systems Security Programs (ISSPs) for NFA Members. ISSPs are required by the NFA so that NFA...more

New Disclosure Rules Enhance Crypto Investor Protection

Kramer Levin Naftalis & Frankel LLP on 9/5/2018

Amid concerns that many investors may not fully understand the risks associated with virtual currencies, or the limits of regulatory oversight, the National Futures Association (NFA) recently issued an interpretive notice...more

Bridging the Week - May 2016 #3

Katten Muchin Rosenman LLP on 5/17/2016

Controller of FCM Named in CFTC Complaint, Along with Firm, for Failure to Timely Notify Commission of Segregation Breach: Cunningham Commodities, LLC, a futures commission merchant registered with the Commodity Futures...more

Bridging the Week - November 2015 #3

Katten Muchin Rosenman LLP on 11/17/2015

Court Chastises SEC for Causing Unwarranted Collapse of Foreign Bank: A federal judge in New York severely criticized the Securities and Exchange Commission over its handling of a lawsuit against Caledonian Bank Ltd.,...more

Four Cybersecurity Ideas from CFTC Commissioner Bowen

McGuireWoods LLP on 9/25/2015

On Sept. 17, 2015, Commissioner Sharon Y. Bowen of the U.S. Commodity Futures Trading Commission (CFTC) gave the keynote address for the International Swaps and Derivatives Association’s 2015 North American Conference in New...more

CFTC’s Market Risk Advisory Committee to Meet on June 2

Katten Muchin Rosenman LLP on 5/14/2015

The Commodity Futures Trading Commission’s Market Risk Advisory Committee (MRAC) will hold a public meeting at the CFTC’s headquarters in Washington, DC on June 2. MRAC will consider issues including the appropriate industry...more

Bridging the Week - May 2015

Katten Muchin Rosenman LLP on 5/5/2015

CME Group Summarily Suspends Trading Privileges of Two Traders Without Hearing for Alleged Spoofing and Non-Cooperation - Less than two weeks after civil and criminal charges were filed by the Commodity Futures Trading...more

Bridging the Week - April 2015 #2

Katten Muchin Rosenman LLP on 4/14/2015

IOSCO Seeks Views on Business Continuity and Recovery Planning by Trading Venues and Intermediaries; NYS Warns on Third-Party Service Providers - The International Organization of Securities Commissions issued two...more

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