Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
K&L Gates
This Toolkit summarizes several key aspects of MiFID II that may impact the trading activities and other operations of global investment managers with offices or clients in the EU.
Duff and Phelps
The dramatic drop in energy prices since 2014, and the largely abysmal returns faced by a record number of commodity-focused hedge funds in 2015 (net returns for commodity hedge funds were -7.24% in 2015), ...
Cadwalader, Wickersham & Taft LLP
IOSCO and the Committee on Payments and Market Infrastructures ("CPMI") published a fourth update to the Level 1 assessments of implementation monitoring of the "PFMI" (international standards for payment...
Cadwalader, Wickersham & Taft LLP
Federal Reserve Bank of New York ("NY Fed") Executive Vice President Simon Potter urged all foreign exchange market participants to adopt the FX Global Code (the "Code")...
Sheppard Mullin Richter & Hampton
In a shareholder derivative action, to survive a motion to dismiss for failure to plead facts showing demand futility, a derivative plaintiff must plead particularized facts showing either actual involvement by a majority of the board in illegal conduct or conduct amount to an intentional dereliction of duty.
Cadwalader, Wickersham & Taft LLP
The SEC Office of Investor Education and Advocacy ("OIEA") described the differences between "stop," "stop-limit" and "trailing stop" orders.
Cadwalader, Wickersham & Taft LLP
At the nonpartisan Economic Club of New York, SEC Chair Jay Clayton highlighted the guiding principles behind his regulatory agenda.
Cadwalader, Wickersham & Taft LLP
The CFTC charged a New York resident and his company with commodity pool fraud, off-exchange foreign currency derivatives fraud, and failure to register with the CFTC.
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Market Oversight (the "DMO") will undertake a comprehensive review of swap data reporting requirements.
Cadwalader, Wickersham & Taft LLP
The CFTC granted swap execution facility ("SEF") registration status to LedgerX, LLC, a New York-based company that has applied to be a bitcoin options exchange.
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") submitted a comment letter in support of proposed CFTC amendments (see previous coverage) regarding the duties of Chief Compliance Officers ("CCOs")...
Ropes & Gray LLP
The new notice filing requirement for continued reliance on certain exemptions from aggregation under the CFTC's position limit rules becomes effective on August 14, 2017.
Cadwalader, Wickersham & Taft LLP
University of Houston Finance Professor Craig Pirrong detailed several "fundamental flaws" in the Dodd-Frank Act and consequent adverse effects on the financial markets.
Cadwalader, Wickersham & Taft LLP
The CFTC Divisions of Market Oversight and of Clearing and Risk (collectively, the "Divisions") granted no-action relief to two binary options exchanges from swap data reporting requirements.
Cadwalader, Wickersham & Taft LLP
In the June 23, 2017 issue of The Risk Desk, editor John Sodergreen offered his take on CFTC Acting Chair J. Christopher Giancarlo's efforts to work on regulatory reform.
Vedder, Price P.C.
Congress directed the CFPB to study pre-dispute arbitration agreements in the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Cadwalader, Wickersham & Taft LLP
Proprietary trading firm Rosenthal Collins Capital Markets, LLC ("RCCM") and former RCCM trader Brandon Elsasser agreed to settle CFTC charges that they engaged in illegal "wash sales."
Cadwalader, Wickersham & Taft LLP
The CFTC entered into non-prosecution agreements with three traders who admitted to spoofing violations.
Cadwalader, Wickersham & Taft LLP
The U.S. Senate Committee on Agriculture, Nutrition, and Forestry ("Committee") voted to advance the nomination of J. Christopher Giancarlo to serve as CFTC Chair.
Milbank, Tweed, Hadley & McCloy LLP
On June 8, 2017, the House of Representatives passed H.R. 10, the Financial CHOICE Act of 2017
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GuernseyFinance
Originally designed for use in the captive insurance sector, the protected cell company has established itself as a go-to-solution for a wide range of fund structuring in the 20 years since...
Cadwalader, Wickersham & Taft LLP
The CFTC Market Risk Advisory Committee ("MRAC") met on June 20, 2017.
BakerHostetler
In what has proven to be a busy spring for various groups to assess the vitality of the financial markets, Nasdaq decided to join the fray as well.
Jones Day
One of the regulatory pillars of the EMIR is the requirement for parties to collateralize the marked-to-market exposure in over-the-counter derivatives transactions that are not cleared by a central clearing system.
Jones Day
The President issued Executive Order 13772 "Core Principles for Regulating the United States Financial System" ("Core Principles")[1] on February 3, 2017.
Morrison & Foerster LLP
"Last year, Nasdaq, solicited comments on our shareholder approval rules. These rules were adopted in 1990 and have remained largely unchanged since then.
BakerHostetler
As private growth companies continue to change the dynamics and the landscape of the financial markets...
Milbank, Tweed, Hadley & McCloy LLP
On June 8, 2017, the House of Representatives passed H.R. 10, the Financial CHOICE Act of 2017
Vedder, Price P.C.
Congress directed the CFPB to study pre-dispute arbitration agreements in the Dodd-Frank Wall Street Reform and Consumer Protection Act.
GuernseyFinance
Guernsey's excellent reputation as an international finance centre was a key factor in London-based investment manager ADM Capital Europe LLP launching its Cibus Fund in the island.
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