News & Analysis as of September 19, 2024

Commodity Pool › European Union

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A Commodity Pool is an investment structure or enterprise where funds from a number of participants are combined into a single entity for the purpose of trading futures contracts, options on contracts, retail... more +

Customer Segregation: Keep It Separate

Important Dates and Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors and Commodity Pool...

Foley Hoag LLP on 2/12/2021

INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state level, are required to review their compliance policies and...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 12/2/2016

FHFA Announces Increase in Maximum Conforming Loan Limits for Fannie Mae and Freddie Mac in 2017 - On November 23, 2016, the Federal Housing Finance Agency (FHFA) announced an increase in the maximum conforming loan...more

Final EU Guidelines on Information regarding Commodity Derivatives and Spot Markets

A&O Shearman on 10/12/2016

The European Securities and Markets Authority published a Final Report and final Guidelines on information expected or required to be disclosed on commodity derivatives markets or related spot markets under the Market Abuse...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 6/3/2014

Council of EU Publishes Compromise Proposal on ELTIF Regulation - On May 27, the Council of the EU published a compromise proposal (10215/14), dated May 23, 2014, in respect of the European Commission's proposed...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 5/27/2014

EU Commission Sends Statement of Objections to Three Banks in Cartel Investigation - On May 20, the European Commission announced that it has sent a statement of objections to Credit Agricole, HSBC and JP Morgan for...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 5/19/2014

CFTC Announces New Approach for Considering Requests for Relief from Registration for Delegating Commodity Pool Operators - On May 12, CFTC Division of Swap Dealer and Intermediary Oversight announced a streamlined...more

Orrick's Financial Industry Week In Review - November 12, 2013

Orrick, Herrington & Sutcliffe LLP on 11/12/2013

CFTC Proposed Rule on Commodity Pools - On November 5, the CFTC issued a proposed rule that would require that all registered introducing brokers (IBs), commodity pool operators (CPOs) and commodity trading advisors...more

Orrick's Financial Industry Week in Review - September 9, 2013

Orrick, Herrington & Sutcliffe LLP on 9/10/2013

Agency Template for Tailored Resolution Plans - On September 3, the FDIC and the Fed released an optional model template for tailored resolution plans required to be submitted by the Dodd-Frank Act. SEC Risk...more

Skadden's 2013 Insights: Financial Regulation

Skadden, Arps, Slate, Meagher & Flom LLP on 1/21/2013

In the U.S., Europe and Asia, 2012 saw measured progress in the implementation of recent regulatory reforms, the Basel capital rules, the deleveraging of the financial services firms and deliberations about the role of...more

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Commodity Pool › European Union

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