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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Skadden, Arps, Slate, Meagher & Flom (UK) LLP ordered by Published Date Descending.
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1
HKEx's Latest Rule Amendments To Crack Down On Backdoor Listing And Shell Activities
On 26 July 2019, The Stock Exchange of Hong Kong Limited (HKEx) published conclusions to its consultation paper regarding backdoor listings, continuing listing criteria
Hong Kong
6 Aug 2019
2
Ninth Circuit Holds Cftc Dodd-Frank Enforcement Authority Allows Fraud-Only Claims
On July 25, 2019, the Ninth Circuit reinstated the Commodity Futures Trading Commission's (CFTC) lawsuit in CFTC v. Monex Credit Co.,1 interpreting the CFTC's Dodd-Frank enforcement
United States
5 Aug 2019
3
Delaware Court Precludes Creditors Of Limited Partnership From Pursuing Derivative Claims
In several cases since the seminal 2011 Delaware Supreme Court decision CML V LLC v. Bax, which held that creditors of Delaware
UK
28 Jun 2019
4
Two Additional Presidential Candidates Subject To Federal Pay-To-Play Rules
In a recent mailing we noted that the following Democratic presidential candidates are covered under federal pay-to-play rules (i.e., SEC 206(4)-5, MSRB G-37, CFTC 23.451 and FINRA 2030) because they are currently elected state or local officials running for federal office:
UK
7 Jun 2019
5
Hong Kong Regulatory Update – April 2019
This Hong Kong regulatory update provides an overview of key regulatory developments in the past three months relevant to companies listed (or planning to list)
Hong Kong
20 May 2019
6
CFTC Signals Foreign Corrupt Practices Investigations
On March 6, 2019, the Commodity Futures Trading Commission's (CFTC or Commission) Division of Enforcement (Division) published an advisory on self-reporting and cooperation for violations of the Commodity Exchange Act.
UK
17 May 2019
7
Commodity Exchange Act Liability For Smart Contract Coders
The Commodity Futures Trading Commission (CFTC) is considering how smart contract applications on the blockchain implicate its jurisdiction and enforcement authority.
UK
17 May 2019
8
CFTC Proposes Sweeping Swap Reporting Amendments Aimed At Improving Data Accuracy And Completeness
On April 25, 2019, the Commodity Futures Trading Commission (CFTC or Commission) published for public comment proposed amendments to the rules governing swap data repositories (SDRs)
UK
16 May 2019
9
An Update For Financial Institutions On Presidential Candidates Covered Under Federal Pay-To-Play Rules
Financial institutions and their employees may be subject to the following federal pay-to-play rules: SEC Rule 206(4)-5 for investment advisers; CFTC Rule 23.451
UK
16 May 2019
10
Significant Regulatory, Jurisdictional And Enforcement Challenges Ahead For CFTC
In 2018, the Commodity Futures Trading Commission (CFTC or Commission) began operating with a full complement of five commissioners for the first time since 2014.
United States
23 Jan 2019
11
New HKEx Rules Spur Bumper Year In Hong Kong Capital Markets, But Lasting Impact Remains Unclear
In April 2018, the Hong Kong Stock Exchange's (HKEx) rule amendments permitting the listing of innovative, high-growth companies with dual-class share structures and pre-revenue biotech companies went into effect.
Hong Kong
23 Jan 2019
12
HKEx Announces Stock Connect Program To Open To WVR Companies
In an important development for the Hong Kong securities market, the Hong Kong Stock Exchange (HKEx) announced1 that it has reached an agreement with the Shanghai and Shenzhen Stock Exchanges...
Hong Kong
20 Dec 2018
13
Federal District Court Dismisses CFTC Price Manipulation Claims And Resets The Standard Of Intent Debate
Few price manipulation cases brought by the Commodity Futures Trading Commission (CFTC) ever go to trial.
UK
19 Dec 2018
14
Skadden Discusses Proposed Updates To Banking Rules For Derivative-Contract Exposure
On October 30, 2018, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency (collectively, the agencies)
United States
17 Dec 2018
15
Federal Banking Agencies Propose Updating Calculation Of Derivative Contract Exposure Amounts
On October 30, 2018, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency jointly invited comment on a proposed regulation.
UK
11 Dec 2018
16
CFTC Proposes Swap Execution Facility Rule Amendments And Seeks Comments On Post-Trade Name Give-Up
On November 5, 2018, the Commodity Futures Trading Commission (CFTC or Commission) held its first open meeting with five commissioners since May 2013.
UK
23 Nov 2018
17
CFTC Division Of Enforcement Touts ‘Vigorous' Year In First Annual Report
On November 14, 2018, the Commodity Futures Trading Commission (CFTC) Division of Enforcement released an annual report, apparently the first of its kind.
United States
23 Nov 2018
18
CFTC Adopts Permanent $8 Billion Threshold For Swap Dealer De Minimis Exception
On November 5, 2018, the Commodity Futures Trading Commission (CFTC) voted 5-0 to approve a final rule amending the swap dealer registration trigger or activity threshold.
United States
19 Nov 2018
19
CFTC Proposes To Simplify, Modernize Commodity Pool Operator And Commodity Trading Advisor Regulations
On October 18, 2018, the Commodity Futures Trading Commission (CFTC) published a proposal in the Federal Register (Proposed Rule)1 to amend several key compliance and registration regulations governing CPOs and CTAs.
UK
19 Nov 2018
20
Recent SEC No-Action, Re-Proposal For Security-Based Swaps Focus On Comparability With Other US Regulators
The SEC's recent actions suggest that the SEC is attempting to avoid that result.
United States
15 Nov 2018
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