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
On March 16, the Financial Crimes Enforcement Network (FinCEN) issued an advisory announcing that the Financial Action Task Force (FATF) has updated its list of jurisdictions that have strategic deficiencies in their...more
In This Issue:
- Delaware Proposal Banning Fee-Shifting and Permitting Exclusive Forum Provisions
- SEC Charges Insiders for Failure to Update Schedule 13D Disclosures
- CBOE Proposes Amendments to...more
3/23/2015
/ AML/CFT ,
Bylaws ,
CFTC ,
Criminal Background Checks ,
Cybersecurity ,
Delaware General Corporation Law ,
Derivatives ,
Disclosure Requirements ,
Exclusive Forum ,
FATCA ,
Fee-Shifting ,
FinCEN ,
Hong Kong ,
Insider Trading ,
Regulation SHO ,
Securities and Exchange Commission (SEC)
The Chicago Board Options Exchange (CBOE) has proposed to offer Extended Trading Hours (ETH) on certain index options contracts....more
In this issue:
- CBOE Proposes to Offer Extended Trading Hours for SPX and VIX Options
- CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of DCOs
- CFTC Reopens Comment Period for...more
The Division of Swap Dealer and Intermediary Oversight and the Division of Market Oversight (Divisions) of the Commodity Futures Trading Commission expanded and extended the no-action relief previously granted to commodity...more
On December 17, the Commodity Futures Trading Commission approved the application of LCH.Clearnet Ltd. for an Amended Order of Registration as a derivatives clearing organization (DCO). Pursuant to the Amended Order, LCH is...more
On December 12, National Futures Association (NFA) submitted to the Commodity Futures Trading Commission proposed amendments to the Interpretive Notice to NFA Compliance Rule 2-45 (Prohibition of Loans by Commodity Pools to...more
On December 18, the Division of Clearing and Risk (DCR) of the Commodity Futures Trading Commission extended the no-action relief previously granted to four foreign clearing organizations: ASX Clear (Futures) Pty Limited,...more
In this issue:
- Delaware Chancery Court Declines to Dismiss Fraud Claims Against Private Equity Fund and Directors
- Agencies Amend Regulatory Capital and Liquidity Coverage Ratio Rules
- FINRA Proposes...more
12/22/2014
/ Affiliates ,
Banking Sector ,
Banks ,
Bitcoin ,
BitLicense ,
Capital Requirements ,
CFTC ,
CPOs ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Fraud ,
Liquidity Coverage Ratio ,
Market Participants ,
NFA ,
Private Equity Funds ,
Push-Out Requirements ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Swaps ,
Whistleblower Protection Policies
On November 21, the Financial Industry Regulatory Authority released Regulatory Notice 14-53 to remind FINRA member firms of their Trade Reporting and Compliance Engine (TRACE) trade reporting obligations for transactions in...more
In this issue:
- SEC Sets October 2015 Target Date for Certain Dodd-Frank and JOBS Act Rulemaking
- FINRA Issues Notice on TRACE Trade Reporting Obligations
- NFA Issues Guidance on Exempt and Excluded...more
12/8/2014
/ AIFM ,
Bank Secrecy Act ,
Banks ,
Bitcoin ,
BitLicense ,
C-Suite Executives ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Dodd-Frank ,
Enforcement Actions ,
EU ,
EU Data Protection Laws ,
False Statements ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Funds ,
JOBS Act ,
NFA ,
OCC ,
Proposed Amendments ,
Regulatory Standards ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
TRACE ,
Whistleblower Awards
On November 12, the Financial Crimes Enforcement Network (FinCEN) issued an advisory announcing that the Financial Action Task Force (FATF) has updated its list of jurisdictions that have strategic deficiencies in their...more
The Agricultural Advisory Committee of the Commodity Futures Trading Commission will convene on December 9 to discuss deliverable supplies of agricultural commodities and related implications for position limits and the...more
On November 17, the Financial Industry Regulatory Authority, Inc. and the Municipal Securities Rulemaking Board (MSRB) released companion proposals that would require disclosure of pricing reference information in customer...more
On November 19, the Securities and Exchange Commission adopted new Regulation Systems Compliance and Integrity (Regulation SCI), a set of rules designed to strengthen the technology infrastructure of the US securities markets...more
In this issue:
- US Court of Appeals for the District of Columbia Circuit Grants Petition for Rehearing of Decision on Conflicts Minerals Rule
- Register for Our 2015 Proxy Season Update Webinar
- SEC...more
11/24/2014
/ Amnesty International ,
Appeals ,
CFTC ,
Conflict Mineral Rules ,
Crowdfunding ,
Disclosure Requirements ,
EU ,
European Commission ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Fixed Income Investments ,
Forward Contract Exclusion ,
Forward Contracts ,
MSRB ,
Proxy Season ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Swap Dealers