Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
Shearman & Sterling LLP
On November 6, 2017, Commodity Futures Trading Commission Chairman J. Christopher Giancarlo authored an opinion piece in the Wall Street Journal warning of potential consequences ...
GuernseyFinance
Cost comes with that, but one thing we find is that US clients don't want to feel they have to have just an onshore European product.
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted temporary no-action relief to the wholly owned subsidiary (Shorcan, Inc., or "Shorcan") of a futures exchange (Intercontinental Exchange, Inc., or "ICE") from certain registration requirements for introducing brokers ("IBs") and the associated persons of introducing brokers ("APs").
Cadwalader, Wickersham & Taft LLP
The Subcommittee on Capital Markets, Securities and Investments reviewed legislative proposals relevant to derivatives end users.
Cadwalader, Wickersham & Taft LLP
The CFTC approved an amendment that replaces the lettering system used in its list of defined terms (CFTC Rule 1.3) with an alphabetized list.
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo reaffirmed his commitment to a cross-border deference-based approach to clearinghouse regulation, encouraged expanded Congressional oversight over virtual currencies, and provided updates on several rulemaking initiatives.
Cadwalader, Wickersham & Taft LLP
FINRA enhanced the functionality of its Regulatory Extension ("REX") system, which allows firms to electronically submit requests for extensions of time pursuant to FINRA Rule 4210.
Cadwalader, Wickersham & Taft LLP
The CFTC Technology Advisory Committee ("TAC") considered challenges posed by new technologies.
Cadwalader, Wickersham & Taft LLP
IOSCO issued a Consultation Report containing policy approaches to enhance protections for retail investors purchasing OTC leveraged products, including rolling-spot forex contracts, contracts for differences ("CFDs") and binary options.
Shearman & Sterling LLP
On 7 December 2017, the NYSE announced a rule change, with immediate effect, pursuant to which NYSE listed companies are now prohibited from issuing material news after the close of the NYSE trading session ...
Shearman & Sterling LLP
On 6 October 2017, the U.S. Department of the Treasury released a report on reforming the U.S. regulatory system for the capital markets (the "Capital Markets Report").
Kramer Levin Naftalis & Frankel LLP
CFTC chairman J. Christopher Giancarlo released a new paradigm for measuring the size of the global swaps markets.
Shearman & Sterling LLP
On February 5, 2018, the U.S. Office of the Comptroller of the Currency, the U.S. Board of Governors of the Federal Reserve System, the U.S. Federal Deposit Insurance Corporation, the U.S. Farm Credit Administration ...
Cadwalader, Wickersham & Taft LLP
The CFTC requested a budget of $281.5 million for fiscal year 2019. This is the same amount requested in FY 2018 and a $31.5 million increase over the request in FY 2017.
Shearman & Sterling LLP
On 11 October 2017, the U.S. Securities and Exchange Commission (SEC) proposed certain amendments to Regulation S-K to simplify and streamline disclosures made by public ...
Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Rostin Behnam provided his perspective on 2018 priorities for the Market Risk Advisory Committee ("MRAC").
Shearman & Sterling LLP
Chairman Jay Clayton of the SEC and Chairman J. Christopher Giancarlo of the CFTC on February 6, 2018 discussed the role of their respective agencies with respect to regulatory oversight of virtual currencies.
Shearman & Sterling LLP
On November 8, 2017, Acting Comptroller of the US Office of the Comptroller of the Currency Keith Noreika questioned the US regulatory requirement for banks to maintain a separation between banking and commerce.
Cadwalader, Wickersham & Taft LLP
AMP Global Clearing LLC ("AMP"), a registered futures commission merchant, agreed to pay a $100,000 penalty to settle CFTC charges that AMP failed to supervise the implementation of critical provisions in its information systems security program ("ISSP").
Cadwalader, Wickersham & Taft LLP
CFTC Chief of Staff Michael Gill, along with the heads of the major CFTC operating divisions, provided an update on Project KISS ("Keep It Simple, Stupid") and described CFTC efforts to simplify regulations and address outdated rules.
Most Popular Recent Articles
Kramer Levin Naftalis & Frankel LLP
The CFTC filed a federal court enforcement action, charging commodity fraud and misappropriation related to the ongoing solicitation of customers for a virtual currency known as My Big Coin (MBC).
Ropes & Gray LLP
The next day, shortly after announcing the charges publicly, the CFTC released a statement with the Securities and Exchange Commission (SEC)...
Ropes & Gray LLP
On December 15, 2017, the U.S. Commodity Futures Trading Commission ("CFTC") issued its proposed interpretation of the term "actual delivery" in the context of virtual currency retail commodity transactions.
Morrison & Foerster LLP
The SEC's Office of Compliance Inspections and Examinations (OCIE) has published its 2018 examination priorities.
Shearman & Sterling LLP
Chairman Jay Clayton of the SEC and Chairman J. Christopher Giancarlo of the CFTC on February 6, 2018 discussed the role of their respective agencies with respect to regulatory oversight of virtual currencies.
Morrison & Foerster LLP
In particular, the Act would decrease the asset coverage requirement applicable to BDCs from 200% to 150%.
Shearman & Sterling LLP
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and corporates.
Shearman & Sterling LLP
On November 8, 2017, Acting Comptroller of the US Office of the Comptroller of the Currency Keith Noreika questioned the US regulatory requirement for banks to maintain a separation between banking and commerce.
GuernseyFinance
Guernsey-registered fund Tufton Oceanic Assets Ltd has completed an initial public offering on the London Stock Exchange.
Miles & Stockbridge
The U.S. Department of the Treasury's Bureau of the Fiscal Service (the "Treasury") announced on February 9, 2018, that the Treasury is resuming the sale of State and Local Government Series (SLGS) ...
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