News & Analysis as of

Sanctions Registration Requirement

Cadwalader, Wickersham & Taft LLP

CFTC Sanctions Registered CTA for Operating Unregistered SEF

On September 26, the Commodity Futures Trading Commission (“CFTC”) published an order settling charges against Asset Risk Management, LLC (“ARM”), a registered commodity trading advisor (“CTA”) headquartered in Houston,...more

A&O Shearman

[Webinar] Enforcement trends in the digital asset space - March 3rd, 12:00 pm - 1:30 pm EST

A&O Shearman on

We are delighted to invite you to join our webinar taking place on Thursday, March 3 at 12:00 p.m.— 1:30 p.m. EST where we will be discussing the evolving U.S. enforcement priorities in the digital asset space. Our speakers...more

McDermott Will & Emery

The UK Trust Register

McDermott Will & Emery on

On 26 June 2017, the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (the Regulations) came into force, introducing new requirements for trustees. The Regulations...more

Carlton Fields

SEC Sanctions Unregistered EB-5 Investments Broker

Carlton Fields on

We previously warned that some individuals involved with arranging EB-5 investments may be required to register as broker-dealers (see "Immigrant Investor Program Raises SEC Broker Registration Issues" in the Summer 2014...more

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