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Searching Content indexed under Finance and Banking by Douglas J. Davison ordered by Published Date Descending.
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SEC Adopts Rules On Non-US Firms That "Arrange, Negotiate, Or Execute" Security-Based Swaps In The US
On Wednesday, the Securities and Exchange Commission (SEC) adopted rules that will affect firms operating in the global security-based swap market.
United States
15 Feb 2016
2
2015 CFTC Year-in-Review, and a Look Forward
CFTC continues to bring high-profile, large-penalty enforcement cases; begins bringing cases to enforce Dodd-Frank Act implementing regulations; and embarks on post-Dodd-Frank Act regulatory initiatives.
United States
26 Jan 2016
3
CFTC Proposes "Regulation AT" For Automated Trading
On November 24, 2015, the Commodity Futures Trading Commission (CFTC or Commission) proposed a new regulatory regime for automated trading on US designated contract markets (DCM) (Regulation AT or the proposal).
United States
16 Dec 2015
4
2014 CFTC Enforcement Year-In-Review, And A Look Forward
In 2014, the Commodity Futures Trading Commission ("CFTC" or the "Commission") filed 67 new enforcement cases
United States
11 Feb 2015
5
SEC To Examine Cybersecurity Preparedness At More Than 50 Registered Broker-dealers And Investment Advisers
On April 15, 2014, the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a "Risk Alert" announcing steps being taken by the OCIE to assess cybersecurity preparedness in the securities sector.
United States
23 Apr 2014
6
2013 CFTC Enforcement Year-in-Review, And A Look Forward
In recent years, the Commodity Futures Trading Commission ("CFTC" or "Commission") has brought cases of ever-greater significance, against respondents with greater name recognition, for consistently increasing civil monetary penalties.
United States
6 Feb 2014
7
CFTC Heightened Enforcement Activity
On October 5, 2012, the Commodity Futures Trading Commission (Commission or CFTC) announced fiscal year 2012 enforcement statistics and case highlights, and identified for practitioners and market participants the Division of Enforcement’s (Division) likely 2013 priorities.
United States
19 Oct 2012
8
UPDATE: Lower Courts Interpret The Supreme Court's Decision In Janus Capital Group, Inc. v. First Derivative Traders
Last summer, the Supreme Court held in Janus Capital Group, Inc. v. First Derivative Traders, Inc. that a defendant may only be held be liable for securities fraud in a private action brought under Rule 10b-5(b) of the Securities Exchange Act of 1934 if it was the "maker" of a misstatement.
United States
12 Apr 2012
9
The SEC's Longstanding "Neither Admit Nor Deny" Settlement Policy Is Supported By Second Circuit Decision Granting Stay
In the latest development involving the Securities and Exchange Commission's ("SEC") longstanding practice of settling enforcement cases on a "neither admit nor deny" basis, the Second Circuit issued an opinion on March 15, 2012 granting a stay in the case in which Judge Jed Rakoff had refused to approve the SEC's settlement with Citigroup.
United States
23 Mar 2012
10
The Top 10 SEC Enforcement Events Of 2011
2011 was an eventful year for the Division of Enforcement at the U.S. Securities and Exchange Commission ("SEC"). Our assessment of the top ten SEC Enforcement events of 2011 is discussed below.
United States
18 Jan 2012
11
Consumer Financial Protection Bureau Announces Early Warning Notice Process For Enforcement Proceedings
Yesterday, the Consumer Financial Protection Bureau ("the Bureau") issued Bulletin 2011-04, announcing that it intends to issue Early Warning Notices to potential respondents prior to initiating enforcement proceedings.
United States
11 Nov 2011
12
Supreme Court Curtails Ability Of Plaintiffs To Hold Secondary Actors Liable In Private Securities Fraud Actions
On June 13, 2011, mutual fund companies and "secondary actors" in the securities markets scored a major victory when the US Supreme Court ruled that aggrieved shareholders may seek relief under the securities laws only from the party with "ultimate authority" over a false statement.
United States
5 Jul 2011
13
Supreme Court Rejects Proving Loss Causation As A Requirement For Class Certification In Securities Fraud Class Actions
Last week, the Supreme Court handed a victory to securities class action plaintiffs for the second time this term by rejecting the United States Court of Appeals for the Fifth Circuit's unique requirement that securities plaintiffs must demonstrate "loss causation"—i.e., the causal link between an alleged securities fraud and plaintiffs' losses—as a predicate to class certification.
United States
20 Jun 2011
14
SEC Approves Sweeping Whistleblower Bounty
On Wednesday, May 25, 2011, the Securities and Exchange Commission issued its long-awaited final rules implementing the "Securities Whistleblower Incentives and Protection" provisions of the Dodd-Frank Act.
United States
1 Jun 2011
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