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Searching Content indexed under Finance and Banking by WilmerHale ordered by Published Date Descending.
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1
The SEC Adopts Security-Based Swap Rules Governing Capital, Margin And Segregation
On June 21, 2019, the SEC adopted a package of rules and rule amendments that set forth the capital, margin and segregation requirements for security-based swap dealers and major security-based swap participants.
United States
2 Aug 2019
2
FCA Enforcement Annual Performance Report – 2018/19
Of course, these figures are not, in and of themselves, problematic.
UK
2 Aug 2019
3
House Financial Services Committee Introduces Legislation To Overhaul SEC Waiver Process
Over the past several weeks, competing views have emerged from Capitol Hill and the SEC over how the SEC should approach waivers of collateral consequences for parties that settle enforcement proceedings.
United States
29 Jul 2019
4
FINRA Issues New Guidance On Credit For Extraordinary Cooperation
FINRA also highlighted examples of recent enforcement actions in which credit was given to respondents.
United States
17 Jul 2019
5
The Legend Of The "Secumodity": Can The Same Coin Be A Security Or Commodity At Different Points In Its Evolution?
In an article published in Futures and Derivatives Law Report, Petal P. Walker discusses the blurry line between a virtual currency and an investment contract.
United States
9 Jul 2019
6
House Of Lords' Bribery Act Report Asks The Right Questions
The House of Lords Bribery Act 2010 Committee published its "post-legislative scrutiny" report on March 14, 2019.
UK
4 Jul 2019
7
7 Tips For Biotech Companies Seeking Capital In A Volatile Market
The article provides a recap of the 2018 market for early-stage public biotech companies...
United States
2 Jul 2019
8
China's New Financial Court
Last August, China established the the court as an initiative of the Central Comprehensively Deepening Reforms Commission, formerly known as the Central Leading Group for Comprehensively Deepening Reforms...
China
10 Jun 2019
9
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
10
New Joint Audit Committee Regulatory Alerts Regarding Margining Of Multiple Accounts With FCMs And Non-Recourse Provisions
On May 14, 2019, the JAC1 issued two regulatory alerts calling for FCMs to review policies and procedures and account agreements...
United States
10 Jun 2019
11
CFTC Proposes Additional Swap Data Reporting Requirements
The Commodity Futures Trading Commission is proposing a significant, new reporting burden on swaps reporting parties and on swaps data repositories.
United States
7 Jun 2019
12
Insider Trading Law Alert: Better The Devil You Know? Tipping Liability, Martoma And The Rise Of 18 U.S.C. § 1348
This revised opinion changed the landscape of tipping jurisprudence, at least in the Second Circuit.
United States
6 Jun 2019
13
China Moves To Open Commodity Futures Trading To Foreign Participants
Alternatively, entities and individual investors that meet certain additional qualification requirements upon approval by the exchange may trade directly on the exchange.
China
6 Jun 2019
14
Justice Department Establishes New Guidelines On Giving Credit For Disclosure, Cooperation And Remediation In False Claims Act Cases
On May 6, 2019, the Justice Department issued new policies establishing how defendants in False Claims Act matters can earn credit for voluntary self-disclosure, cooperation, and remediation, possibly reducing ...
United States
6 Jun 2019
15
3 Key Issues In UK's 'Online Harms' Regulatory Framework
How do you police the internet? That is the question that the government sought to answer with the launch of last month's online harms white paper.
UK
30 May 2019
16
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
17
Energy Market Manipulation Remains A Hot Issue At FERC
Since the passage of the Energy Policy Act of 2005, fraud and market manipulation have been top enforcement priorities of the Federal Energy Regulatory Commission (FERC or the Commission).
United States
26 Mar 2019
18
An Introduction To The Foreign Agents Registration Act For Firms Assisting Foreign Clients In The United States
After decades in which the Foreign Agents Registration Act (FARA) received relatively little attention, a confluence of recent events has given the statute newfound prominence.
United States
12 Mar 2019
19
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
20
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
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