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Commodities/Derivatives/Stock Exchanges
Guernsey
GuernseyFinance
The new listings contributed towards a 5% growth in the total number of listings on the market during the year. There were 2,995 securities listed on Guernsey-headquartered TISE at the end of...
India
Khaitan & Co
A resolution of the board of directors of the investment manager approving the rights issue of the units should have been passed.
PDS Legal
The Finance Act 2019 amends the Indian Stamp Act, 1899. (Amended Stamp Act). The amendments are set to come into force from 1 April 2020.
Jersey
Ogier
On 18 October 2019, the Taxation (Companies – Economic Substance) (Amendment) (Jersey) Law 2019 was registered in the Royal Court and came into force from 1 January 2019.
Singapore
Shook Lin & Bok
The Court found that Marex had breached several terms of the purchase contracts, and rejected their construction of the terms of the purchase contracts.
UK
DLA Piper
The long awaited thematic review of custody arrangements (Review) has now been completed and FMA have released their summary findings...
United States
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines and effective dates.
Cadwalader, Wickersham & Taft LLP
As a result, the DOJ and CFTC found, the firm caused a total of $464,300 in market losses.
Jones Day
The increased use of financial sanctions by the United States and European Union has the potential to cause short-term illiquidity, contagion, and market dislocation in derivative markets.
Morrison & Foerster LLP
On December 17, 2019, three different divisions of the Commodity Futures Trading Commission ("CFTC") issued no-action letters intended to facilitate the swaps market's transition away from interbank
Ropes & Gray LLP
With the New Year comes new responsibilities for certain asset managers who are exempt from registration with the U.S. Commodity Futures Trading Commission ("CFTC") as commodity pool...
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines and effective dates.
Cadwalader, Wickersham & Taft LLP
The NFA provided guidance on annual affirmation obligations for commodity pool operators ("CPOs") / commodity trading advisors ("CTAs") that are exempt from CFTC registration.
Cadwalader, Wickersham & Taft LLP
The Commodity Futures Trading Commission (the "CFTC") approved the publication of two releases (the "Final Rules")...
Kirkland & Ellis International LLP
As 2020 gets underway, advisers should plan for the upcoming year's filing and compliance deadlines and assess their compliance programs ...
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines and effective dates. Click on the links below to view deadlines from January 16, 2020 to January 31, 2020.
Gibson, Dunn & Crutcher
On December 18, 2019, the staffs of the Division of Swap Dealer and Intermediary Oversight ("DSIO"), the Division of Market Oversight ("DMO")...
Cadwalader, Wickersham & Taft LLP
A South Korean brokerage and investment banking firm settled CFTC charges on behalf of a recently acquired securities subsidiary that engaged in spoofing.
Worldwide
Steptoe & Johnson LLP
On July 15, 2019, Heath Tarbert was sworn in as the 14th Chairman of the US Commodity Futures Trading Commission (CFTC or Commission).
Dentons
In July 2017, Andrew Bailey, chief executive officer of the UK Financial Conduct Authority (FCA), announced that the FCA would no longer require panel banks to make London Inter-...
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