News & Analysis as of

Reporting Requirements Market Manipulation

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: January 1, 2024

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges....more

Jones Day

First Conviction in the U.S. for FATCA Violations

Jones Day on

An investigation of Belize-based stockbrokers recently led to the first FATCA conviction since its enactment in 2010. The former head of an offshore bank pled guilty to conspiracy to defraud the United States by...more

A&O Shearman

UK Regulator Proposes Guidance on Obligations to Counter Insider Dealing and Market Manipulation

A&O Shearman on

The Financial Conduct Authority has launched a consultation on adding a proposed chapter on insider dealing and market manipulation to its Financial Crime Guide. The Financial Crime Guide is not part of the FCA's rules but it...more

Skadden, Arps, Slate, Meagher & Flom LLP

Cross-Border Investigations Update - November 2017

This issue of Skadden’s semiannual Cross-Border Investigations Update takes a close look at recent cases, regulatory activity and other key developments, including new U.K. reporting obligations for sanctions violations,...more

WilmerHale

FERC Goes Back to the Drawing Board on Data Collection Rule

WilmerHale on

On July 21, 2016, the Federal Energy Regulatory Commission (FERC) proposed a new data collection rule that would require market-based rate (MBR) sellers and entities trading virtual products or holding firm transmission...more

Katten Muchin Rosenman LLP

EU Commission Adopts Delegated Regulation on Abusive Practices and Suspicious Orders and Transactions Under MAR

On March 9, the European Commission adopted a delegated Regulation (and an accompanying Annex) in relation to the EU Market Abuse Regulation (MAR). The delegated Regulation sets out arrangements, systems and procedures and...more

Morgan Lewis

FERC Terminates Proceeding That Would Increase Reporting of Natural Gas Sales

Morgan Lewis on

On November 17, 2015, the Federal Energy Regulatory Commission (FERC) issued an order terminating its inquiry on potentially requiring jurisdictional sellers to submit quarterly reports on natural gas transactions....more

Eversheds Sutherland (US) LLP

FERC Proposes Expansive “Connected Entity” Reporting Requirement

The Federal Energy Regulatory Commission (FERC) has proposed requiring the operators of centralized wholesale power markets to collect and provide to FERC a broad range of market participant data, including (i) each market...more

Morrison & Foerster LLP

FERC Seeks to Expand Electricity Market Surveillance with New Data Reporting Requirements

On September 17, 2015, the Federal Energy Regulatory Commission (FERC) issued a Notice of Proposed Rulemaking (NOPR) to expand the obligations of Regional Transmission Organizations and Independent System Operators...more

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