Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
Shearman & Sterling LLP
On January 8, 2018, the European Securities and Markets Authority launched a consultation on proposed guidelines for national regulators of CCPs on the application of the rules requiring CCPs...
GuernseyFinance
Private equity and hedge fund firm Capricorn Capital Partners has led a group of investors to acquire a significant equity stake in Guernsey-based asset management company RAW Capital Partners.
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo named Maggie Sklar as his Senior Counsel.
Kramer Levin Naftalis & Frankel LLP
The CFTC unanimously approved final rules updating Parts 3 and 9 to integrate existing advisory guidance, incorporate SEFs and update provisions currently applicable to designated contract markets (DCMs).
Kramer Levin Naftalis & Frankel LLP
The CFTC's Division of Swap Dealer and Intermediary Oversight issued no-action relief to registered futures commission merchants and introducing brokers to exclude deferred tax liabilities...
Kramer Levin Naftalis & Frankel LLP
Liquid alternative mutual fund specialist Catalyst Funds and BNP Paribas partnered to form the BNP Paribas Catalyst Systematic Alpha Index, a risk premia strategy that allocates between seven strategies ...
Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 8 to January 12, 2018.
Cadwalader, Wickersham & Taft LLP
The SEC is requesting comment on the collection of information on Form PF ("Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors").
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance dates, effective dates, reporting deadlines, and nomination dates.
Cadwalader, Wickersham & Taft LLP
The CFTC approved amendments to National Futures Association ("NFA") rules related to disclosures and price adjustments for forex transactions and 2-43.
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") reminded members about certain obligations for commodity pool operators / commodity trading advisors ("CPOs/CTAs") who are exempt from CFTC registration.
Cadwalader, Wickersham & Taft LLP
The CFTC approved technical amendments to Part 3 and Part 9 of its rules.
Cadwalader, Wickersham & Taft LLP
U.S. Senate Committee on Agriculture, Nutrition and Forestry Chair Pat Roberts (R-KS) and Ranking Member Debbie Stabenow (D-MI) expressed support for CFTC Chair J. Christopher Giancarlo's...
Kramer Levin Naftalis & Frankel LLP
The proposal is currently open for public comment.
Carlton Fields
FINRA Rule 4530(a) requires member firms to promptly report certain enumerated events.
Cadwalader, Wickersham & Taft LLP
The CFTC requested comments on the new "CFTC-50" system of records, which was established to process information collected from individuals who use LabCFTC.
Cadwalader, Wickersham & Taft LLP
The CFTC request for comments on a Proposed Interpretation of the term "actual delivery" for virtual currency retail transactions was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
The SEC Division of Investment Management (the "Division") granted no-action relief to any registered investment company that keeps assets in the custody of certain clearinghouses (Chicago Mercantile Exchange ("CME"), ICE Clear Credit LLC ("ICE"), and LCH Limited and LCH.Clearnet LLC (collectively, "LCH")) or any of their clearing members to meet margin requirements for certain swaps that are cleared by the clearinghouses.
Cadwalader, Wickersham & Taft LLP
The CFTC revoked CME Europe Limited's ("CMEEL") foreign board of trade ("FBOT") registration.
Shearman & Sterling LLP
On December 14, 2017, the Financial Stability Board, the Basel Committee on Banking Standards, the Committee on Payments and Market Infrastructures and the International Organization for Securities...
Most Popular Recent Articles
Cadwalader, Wickersham & Taft LLP
U.S. Senate Committee on Agriculture, Nutrition and Forestry Chair Pat Roberts (R-KS) and Ranking Member Debbie Stabenow (D-MI) expressed support for CFTC Chair J. Christopher Giancarlo's...
Cadwalader, Wickersham & Taft LLP
The SEC is requesting comment on the collection of information on Form PF ("Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors").
Cadwalader, Wickersham & Taft LLP
The SEC Division of Investment Management (the "Division") granted no-action relief to any registered investment company that keeps assets in the custody of certain clearinghouses (Chicago Mercantile Exchange ("CME"), ICE Clear Credit LLC ("ICE"), and LCH Limited and LCH.Clearnet LLC (collectively, "LCH")) or any of their clearing members to meet margin requirements for certain swaps that are cleared by the clearinghouses.
Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 8 to January 12, 2018.
Cadwalader, Wickersham & Taft LLP
The CFTC request for comments on a Proposed Interpretation of the term "actual delivery" for virtual currency retail transactions was published in the Federal Register.
Carlton Fields
FINRA Rule 4530(a) requires member firms to promptly report certain enumerated events.
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") reminded members about certain obligations for commodity pool operators / commodity trading advisors ("CPOs/CTAs") who are exempt from CFTC registration.
Cadwalader, Wickersham & Taft LLP
The CFTC requested comments on the new "CFTC-50" system of records, which was established to process information collected from individuals who use LabCFTC.
Cadwalader, Wickersham & Taft LLP
The CFTC issued a proposed exemptive order that would allow certain derivatives clearing organizations ("DCOs") to invest futures and swap customer funds in French and German sovereign debt.
Kramer Levin Naftalis & Frankel LLP
Liquid alternative mutual fund specialist Catalyst Funds and BNP Paribas partnered to form the BNP Paribas Catalyst Systematic Alpha Index, a risk premia strategy that allocates between seven strategies ...
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