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Searching Content by Seth Davis ordered by Published Date Descending.
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CFTC Releases Enforcement Manual In Hopes Of Increasing Transparency
Intending to bring greater transparency to the operation of its enforcement program, the CFTC Division of Enforcement recently, for the first time, made public its Enforcement Manual.
United States
10 Jun 2019
2
United States
6 Jun 2019
3
Mutual Fund Sponsors Beware: Recent SEC Staff Guidance Could Result In Lapse In Registration
Mutual fund sponsors should think carefully before agreeing with an SEC Staff request to delay the automatic effectiveness of a fund's annual update.
United States
22 Apr 2019
4
CFTC Releases Enforcement Advisory Regarding Self Reporting And Cooperation For CEA Violations Involving Foreign Corrupt Practices
On March 6, 2019, the Commodity Futures Trading Commission's Division of Enforcement released an Enforcement Advisory on self-reporting and cooperation for violations of the CEA involving foreign corrupt practices.
United States
12 Mar 2019
5
CFTC Announces Whistleblower Award Totaling More Than $2 Million To Company Outsider
On March 4, 2019, the CFTC announced a whistleblower award totaling more than $2 million to a company outsider who contributed information through independent analysis that led to a successful CFTC enforcement action ...
United States
11 Mar 2019
6
CFTC Announces Examination Priorities For 2019
On February 12, 2019, the Commodity Futures Trading Commission (CFTC or Commission) published for the first time its examination priorities for the coming year.
United States
1 Mar 2019
7
WilmerHale Attorneys Analyze OCIE Risk Alert on Cash Solicitation Rule
WilmerHale Attorneys Analyze OCIE Risk Alert on Cash Solicitation Rule.
United States
5 Feb 2019
8
Regulatory Monitor: SEC Update
On February 7, 2018, the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE) released its 2018 examination priorities.
United States
2 May 2018
9
OCIE Examination Priorities 2018
OCIE will assess the potential impact of technological advances on the financial markets, including ways in which investors may be harmed.
United States
21 Feb 2018
10
Form SHC Deadline Approaching For Investment Advisers And Other Reporters
Investment advisers should take note that they may be required to file Treasury International Capital Benchmark (TIC) Form SHC by Friday, March 3, 2017.
United States
1 Mar 2017
11
Dodd-Frank Implementation Update: Key Differences Between The CFTC And SEC Final Business Conduct Standards And Related Cross-Border Requirements
This may complicate a firm's decision-making on whether to integrate its SBSD into its already registered SD.
United States
26 Sep 2016
12
Key Differences Between the CFTC and SEC Final Business Conduct Standards and Related Cross-Border Requirements
In April, the Securities and Exchange Commission (SEC) adopted its final business conduct rules for security-based swap dealers. The Commodity Futures Trading Commission (CFTC) adopted parallel rules for swap dealers in 2012.
United States
26 May 2016
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