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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Akin Gump Strauss Hauer & Feld LLP ordered by Published Date Descending.
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1
CFTC Staff Extends Relief With Respect To Certain Position Limit Aggregation Requirements
On August 10, 2017, staff of the U.S. CFTC issued No-Action Letter 17-371, which provides relief with respect to the position limit disaggregation notice filing requirements under Rule 150.4(c)2...
United States
12 Aug 2019
2
EMIR Refit – Redefining A "Financial Counterparty" And Why This Matters To Fund Managers
Legislative reform to the European Market Infrastructure Regulation (EMIR) has now been finalised and the changes are expected to take effect in or around June 2019.
United States
16 May 2019
3
Brexit: Recognition Of UK Derivatives Regulation
The FMIA applies to the trade in derivatives.
European Union
2 May 2019
4
NFA To Require Swap Proficiency Testing For Associated Persons Of CPOs And CTAs Who Engage In Swaps Activity
By January 31, 2021, all swap associated persons of registered CPOs and CTAs must take and pass the NFA's new swaps proficiency requirements.
United States
19 Mar 2019
5
OFAC Sanctions Venezuelan State-Owned Energy Company PdVSA, Releases New General Licenses And FAQs For Venezuela Sanctions Regime
On January 28, 2019, OFAC added the Venezuelan state-owned oil and natural gas company PdVSA to its SDN List.
United States
12 Feb 2019
6
Amendments To The Code On Unit Trusts And Mutual Funds
The revised UT Code came into effect on 1 January 2019, with a 12-month transition period for compliance by funds currently registered with the SFC.
United States
28 Jan 2019
7
NFA Issues Interpretive Notices For Cpos Regarding Internal Controls Systems And Cybersecurity
The NFA has determined that registered CPOs must implement an internal controls system and highlighted best practices for such a framework.
United States
21 Jan 2019
8
CFTC Proposes To Codify Existing Staff-Issued Relief From Registration And Other Compliance Requirements For CPOs And CTAs
In response to comments received from its "Project KISS" initiative, the Commodity Futures Trading Commission (CFTC) is proposing to codify in Part 4 of its rules,
United States
18 Oct 2018
9
Investment Management Special Report - 2018-19 Compliance Developments & Calendar For Private Fund Advisers
Despite the new administration, the Securities and Exchange Commission (SEC) and the CFTC have both continued to make novel interpretations and to bring enforcement actions that break new ground.
United States
12 Oct 2018
10
U.S. Withholding Tax And Reporting Action Items For Investment Funds And Asset Managers (Fall 2018)
Foreign Investor Forms W-8: An update of Forms W-8 on file for non-U.S. investors is generally recommended by December 31, 2018 to ensure that a date of birth (DOB)...
United States
9 Oct 2018
11
CFTC Brings Energy Market Insider Trading Case, Announces Insider Trading Task Force
The CFTC has filed a new "insider trading" enforcement action involving the energy markets—the agency's third energy market insider trading case since 2015.
United States
5 Oct 2018
12
U.S. Withholding On Synthetic Trades Over U.S. Equities – Additional Delay Of Full Implementation Until 2021 (Notice 2018-72)
The broader application of Section 871(m) has been delayed further until January 1, 2021 and, as a result, investment funds ...
United States
26 Sep 2018
13
NFA Inspects Hong Kong Based Investment Managers
The U.S. National Futures Association (NFA) has confirmed that it has commenced its first-ever, on-site inspection program of NFA member firms located in Hong Kong.
United States
17 Jul 2018
14
Federal Judge Adopts CFTC Position That Cryptocurrencies Are Commodities
A New York federal judge held that virtual currencies are commodities within the meaning of the Commodity Exchange Act.
United States
16 Mar 2018
15
Nasdaq Proposes Changes To SPAC Listing Rules
On October 11, 2017, the Securities and Exchange Commission (SEC) published for comment a proposal by NASDAQ Stock Market LLC to modify its initial and continued listing requirements...
United States
19 Oct 2017
16
Connecting The Dots: EU Derivatives Legislation May Fall Short Of Delivering A Cohesive Regime
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...
European Union
19 Sep 2017
17
Acting (And Potentially Permanent) CFTC Chairman Warns Of "Aggressive And Assertive Enforcement Action By The CFTC Under The Trump Administration"
In remarks before the International Futures Industry Conference, Acting Chairman J. Christopher Giancarlo—who was just nominated by President Trump to be permanent Chairman...
United States
20 Mar 2017
18
Reminder That The List Of Securities Subject To Hong Kong Short Position Reporting Will Be Expanded With Effect From 15 March 2017
Market participants are currently only required to report short positions in 138 SEHK-listed securities (in accordance with the list of specified shares published by the SFC on 10 February 2017).
Hong Kong
14 Mar 2017
19
SFC Publishes Circulars And Updates FAQs On The Triggering Of, And Compliance With, Suitability Obligations
On 23 December 2016, the Securities and Futures Commission published the following guidance regarding the suitability obligations of licensed or registered persons when recommending or soliciting investments:
United States
1 Feb 2017
20
Obama Administration To Terminate Sudan Sanctions Program
The action reverses nearly 20 years of U.S. policy toward Sudan, a country that had been the target of a comprehensive trade embargo due to human rights abuses and support for international terrorism.
Worldwide
24 Jan 2017
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