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Market Participants

Green Bonds – An Introduction

by White & Case LLP on

Since their introduction in 2007, Green Bonds issuances have exponentially increased in volume and have become part of the lexicon of environmental finance. Simply defined, Green Bonds raise funds for new and existing...more

Financial Services Quarterly Report - First Quarter 2017: DIFC Lowers Cost of Entry for Fund Managers

by Dechert LLP on

The Dubai International Financial Centre (DIFC) is one of the leading financial hubs in the Middle East. Its funds regime – administered and regulated by the Dubai Financial Services Authority (DFSA) – has been updated a...more

US Securities and Exchange Commission Approves Rules to Ease Investor Access to Exhibits in Company Filings

by Shearman & Sterling LLP on

The SEC adopted rule and form amendments to make it easier for investors and other market participants to find and access exhibits in registration statements and periodic reports that were originally provided in previous...more

Sorry, Mr. Burns: Nielsen’s TLR Has Nothing To Do With FCC Market Definitions

In 2003, the FCC changed the local radio market definition for rated markets under its ownership rules from the contour-overlap methodology to the Arbitron Metro geographic market. The FCC defined the radio market for...more

US Commodity Futures Trading Commission Signs Counterpart to Memorandum of Understanding with Canadian Authority in Newfoundland...

by Shearman & Sterling LLP on

The CFTC announced that Chairman Massad had signed the Counterpart to a Memorandum of Understanding with the Superintendent of Securities for Newfoundland and Labrador and the Canadian Minister for Intergovernmental...more

Local Tax Incentives Tied to Use of Union Labor —Preempted by the NLRA?

by Seyfarth Shaw LLP on

Seyfarth Synopsis: Third Circuit rejects market-participant argument, opening the door for preemption challenge to local law tying tax incentives to use of union labor. The case before the Third Circuit, Associated...more

Second Circuit: Aluminum End Users Lack Antitrust Standing; Price Manipulation Claims Against Traders and Warehouses Foiled

by Mintz Levin on

Last week, in In re Aluminum Warehousing Antitrust Litigation, the US Court of Appeals for the Second Circuit (“Second Circuit”) rejected a claim by certain downstream end-users of aluminum that their price manipulation...more

UK Market Abuse Regime Extends Its Reach: Implications for Market Participants

by Morgan Lewis on

The new regime shares the same aims as its predecessor—to ensure the integrity of EU financial markets and enhance investor confidence—and keeps pace with market developments such as new trading platforms, new technology, and...more

National Council for Public Private Partnerships asks “What’s Next?” at its Annual P3 Connect Conference

by Nossaman LLP on

The National Council for Public Private Partnerships, reengineered its 2016 “P3 Connect” annual conference June 27 to 29, 2016, posing the question “What’s Next” for public-private partnerships in the United States. NCPPP...more

China Accelerates the Establishment of Social Credit System

The State Council published the Guiding Opinions on Accelerating Social Credit System Establishment by Further Developing Joint Incentives for Honest Market Participants and Joint Penalties for Dishonest Market Participants,...more

European Securities and Markets Authority Opines on Regime for Disclosure of Inside Information by Emission Allowance Market...

by Shearman & Sterling LLP on

The European Securities and Markets Authority published its Opinion on the proposed requirements for Emission Allowance Market Participants to disclose inside information under the Market Abuse Regulation...more

Traders and Compliance Professionals Take Note: Phase One of New BIS “Global Code” Establishes “Best Practices” in the Foreign...

Limitations on Use of Confidential Information is Prominent in the New Standards Continuing Recent Enforcement Trend in the Commodities and Derivatives Markets - On May 26, 2016, the Foreign Exchange Working Group...more

Technical Standards on Market Soundings under the Market Abuse Regulation

by Shearman & Sterling LLP on

The European Commission adopted Regulatory Technical Standards on the arrangements, systems and procedures for market participants disclosing inside information while conducting market soundings. The Market Abuse Regulation,...more

Rocky Mountain Securities Conference: Cybersecurity Takes Center Stage

Given the security industry’s increased use of information technology and the constant evolution of cyber threats, cybersecurity will continue to demand significant attention from regulators and industry participants in the...more

US Federal Reserve Bank of New York Executive Vice President Discusses Importance of Liquidity Regulations

by Shearman & Sterling LLP on

Executive Vice President of the US Federal Reserve Bank of New York Simon Potter discussed steps the US Board of Governors of the Federal Reserve System has taken to improve the US monetary policy framework following the...more

US and EU reach an important agreement on CCP global equivalence: how will it affect you?

by DLA Piper on

US Commodity Futures Trading Commission Chairman Timothy Massad and European Commissioner Jonathan Hill have agreed on a common approach to harmonizing transatlantic regulations regarding the central clearing of derivatives...more

US Commodity Futures Trading Commission Signs Memorandum of Understanding with Canadian Provinces on Cross-Border Supervision

by Shearman & Sterling LLP on

CFTC Chairman Timothy Massad and authorities for three Canadian provinces signed a March 2014 Memorandum of Understanding regarding (i) cooperation and coordination between the jurisdictions in respect of derivatives and...more

US Commodity Futures Trading Commission Signs Memorandum of Understanding with Canadian Provinces on Cross-Border Supervision

by Shearman & Sterling LLP on

CFTC Chairman Timothy Massad and authorities for three Canadian provinces signed a March 2014 Memorandum of Understanding regarding (i) cooperation and coordination between the jurisdictions in respect of derivatives and...more

LMEShield and other developments – the LME’s continuing pivot to Asia

by Reed Smith on

The announcement of the LMEShield initiative arrives off the back of a number of other Asia focused developments for the LME. The LMEShield initiative takes the LME yet one step further towards its desire of having LME...more

International Swaps and Derivatives Association Publishes Updated Asset Classification Letter

by Shearman & Sterling LLP on

The International Swaps and Derivatives Association published an updated ISDA European Markets Infrastructure Regulation Classification Letter. The purpose of the Classification Letter is to assist market participants in...more

UK Regulator Bans Former LIBOR Trader from UK Financial Services Industry

by Shearman & Sterling LLP on

The Financial Conduct Authority published a decision notice banning Mr Arif Hussein from the UK financial services industry. The FCA found Mr Hussein not to be a fit and proper person to carry out the functions of a trader or...more

Financial Conduct Authority Publishes Results of Assessment of Behaviour of High Frequency Traders

by Shearman & Sterling LLP on

The Financial Conduct Authority published an Occasional Paper which assesses whether high frequency traders, on a systematic basis, foresee when trading orders are going to arrive at different trading venues and trade in...more

International Report on Cyber Security in Securities Markets

by Shearman & Sterling LLP on

The International Organization of Securities Commissions published a report on cyber security in securities markets from an international perspective. The purpose of the report is to assist IOSCO members and market...more

EU Regulation and Template on Public Disclosure of Managers Transactions

by Shearman & Sterling LLP on

A Commission Delegated Regulation and Commission Implementing Regulation supplementing the Market Abuse Regulation were published in the Official Journal of the European Union. The Delegated Regulation extends the exemption...more

Changes to the Canadian early warning reporting system adopted by securities regulators

by Dentons on

On March 13, 2013, the Canadian Securities Administrators (CSA) published for comment proposed changes to the Canadian early warning reporting system and received extensive comments from market participants and industry...more

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Cybersecurity

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