Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
Cadwalader, Wickersham & Taft LLP
Mr. Giancarlo highlighted the importance of the collective G-20 commitment, made at the Pittsburgh summit...
Akin Gump Strauss Hauer & Feld LLP
When the provisions under the revised Markets in Financial Instruments Directive (directive 2014/65/EU) and the new Markets in Financial Instruments Regulation (together, Mifid II) relating to the trading of derivatives...
GuernseyFinance
Impact investing is increasingly taking hold as allocators recognise the return benefits and this presents opportunities for established international financial centres, a white paper reports.
GuernseyFinance
Guernsey-headquartered Heritage International Fund Managers (HIFM) is to offer portfolio and risk management services for alternative investment funds with its comprehensive Management Company (ManCo) solution.
GuernseyFinance
The total value of funds business in Guernsey grew by £4.5 billion (1.6%) during the second quarter of this year.
Cadwalader, Wickersham & Taft LLP
CME Group announced that it will stop clearing credit defaults swaps by mid-2018.
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo reiterated his prior remarks on global swaps regulation (see previous coverage of his speech in Switzerland and op-ed in French newspaper Les Échos).
Kramer Levin Naftalis & Frankel LLP
Kevin Webb, who most recently served as special counsel to CFTC chairman J. Christopher Giancarlo, was selected by CFTC commissioner Brian Quintenz to serve as his chief of staff.
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance deadlines, effective dates and meeting dates.
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo reviewed the implementation of swap reforms over the past eight years and advocated for increased cross-border regulatory deference.
Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of September 4 to September 8, 2017.
Cadwalader, Wickersham & Taft LLP
ISDA launched "ISDA SIMM 2.0," the second and latest iteration of the Standard Initial Margin Model.
Cadwalader, Wickersham & Taft LLP
SEC Commissioner Michael Piwowar opened an SEC-NYU conference by describing different types of ETPs: exchange-traded funds ("ETFs"), exchange-traded notes ("ETNs"), and exchange-traded commodity funds...
Ropes & Gray LLP
The Board of Governors of the Federal Reserve System has adopted final rules that represent a significant shift in the terms of over-the-counter derivatives, repurchase and reverse repurchase transactions...
Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Brian Quintenz named Kevin Webb to be Chief of Staff.
Cadwalader, Wickersham & Taft LLP
Three former registered representatives settled charges that they manipulated the stock of a microcap company in an attempt to obtain a Nasdaq listing.
Cadwalader, Wickersham & Taft LLP
A Texas-based company settled charges that it acted as a commodity pool operator ("CPO") without registering with the CFTC.
Arnold & Porter Kaye Scholer LLP
n just eight months, all federally regulated banks, brokers or dealers in securities, mutual funds, futures commission merchants, and introducing brokers in commodities will be required to comply with the new Beneficial Ownership Rule...
Cadwalader, Wickersham & Taft LLP
A New York-based futures commission merchant settled charges with the CFTC that it failed to meet recordkeeping requirements that were mandated by the Commodity Exchange Act and by CFTC Regulations.
Cadwalader, Wickersham & Taft LLP
The Asia Ex-Japan Determinations Committee ("DC") resolved to suspend the settlement of credit derivatives transactions referencing Noble Group Ltd ("Noble").
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Cadwalader, Wickersham & Taft LLP
Three federal bank regulators released interagency guidance on the regulatory capital treatment of centrally cleared "settled-to-market" derivative contracts.
Arnold & Porter Kaye Scholer LLP
n just eight months, all federally regulated banks, brokers or dealers in securities, mutual funds, futures commission merchants, and introducing brokers in commodities will be required to comply with the new Beneficial Ownership Rule...
Morrison & Foerster LLP
On August 14, 2017, the SEC approved the NYSE's proposed rule change amending Sections 204.12, 204.21, and 202.06(B) of its NYSE Listed Company Manual to require listed companies...
Cadwalader, Wickersham & Taft LLP
Aruba-based futures trading company Copersucar Trading A.V.V., a subsidiary of a Brazilian sugar and ethanol company, settled CFTC charges that it executed wash trades and prearranged noncompetitive trades.
Morrison & Foerster LLP
Nasdaq Private Market reports increased activity in private company liquidity programs.
Herrick, Feinstein LLP
On August 7, 2017, the Seventh Circuit Court of Appeals upheld commodities trader Michael Coscia's conviction for spoofing and commodities fraud.
Ropes & Gray LLP
The Board of Governors of the Federal Reserve System has adopted final rules that represent a significant shift in the terms of over-the-counter derivatives, repurchase and reverse repurchase transactions...
Cadwalader, Wickersham & Taft LLP
The DSIO determined that the parties are "jointly and severally liable" for violations of the CEA and CFTC regulations.
Cadwalader, Wickersham & Taft LLP
The Asia Ex-Japan Determinations Committee ("DC") resolved to suspend the settlement of credit derivatives transactions referencing Noble Group Ltd ("Noble").
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") permanently barred a former "associated person" of a commodity trading advisor from membership or from acting as a principal for any NFA member.
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