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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by WilmerHale ordered by Published Date Descending.
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1
The SEC Adopts Security-Based Swap Rules Governing Capital, Margin And Segregation
On June 21, 2019, the SEC adopted a package of rules and rule amendments that set forth the capital, margin and segregation requirements for security-based swap dealers and major security-based swap participants.
United States
2 Aug 2019
2
The Legend Of The "Secumodity": Can The Same Coin Be A Security Or Commodity At Different Points In Its Evolution?
In an article published in Futures and Derivatives Law Report, Petal P. Walker discusses the blurry line between a virtual currency and an investment contract.
United States
9 Jul 2019
3
CFTC Releases Enforcement Manual In Hopes Of Increasing Transparency
Intending to bring greater transparency to the operation of its enforcement program, the CFTC Division of Enforcement recently, for the first time, made public its Enforcement Manual.
United States
10 Jun 2019
4
New Joint Audit Committee Regulatory Alerts Regarding Margining Of Multiple Accounts With FCMs And Non-Recourse Provisions
On May 14, 2019, the JAC1 issued two regulatory alerts calling for FCMs to review policies and procedures and account agreements...
United States
10 Jun 2019
5
CFTC Proposes Additional Swap Data Reporting Requirements
The Commodity Futures Trading Commission is proposing a significant, new reporting burden on swaps reporting parties and on swaps data repositories.
United States
7 Jun 2019
6
China Moves To Open Commodity Futures Trading To Foreign Participants
Alternatively, entities and individual investors that meet certain additional qualification requirements upon approval by the exchange may trade directly on the exchange.
China
6 Jun 2019
7
Energy Market Manipulation Remains A Hot Issue At FERC
Since the passage of the Energy Policy Act of 2005, fraud and market manipulation have been top enforcement priorities of the Federal Energy Regulatory Commission (FERC or the Commission).
United States
26 Mar 2019
8
CFTC Releases Enforcement Advisory Regarding Self Reporting And Cooperation For CEA Violations Involving Foreign Corrupt Practices
On March 6, 2019, the Commodity Futures Trading Commission's Division of Enforcement released an Enforcement Advisory on self-reporting and cooperation for violations of the CEA involving foreign corrupt practices.
United States
12 Mar 2019
9
CFTC Announces Whistleblower Award Totaling More Than $2 Million To Company Outsider
On March 4, 2019, the CFTC announced a whistleblower award totaling more than $2 million to a company outsider who contributed information through independent analysis that led to a successful CFTC enforcement action ...
United States
11 Mar 2019
10
CFTC Announces Examination Priorities For 2019
On February 12, 2019, the Commodity Futures Trading Commission (CFTC or Commission) published for the first time its examination priorities for the coming year.
United States
1 Mar 2019
11
2018 CFTC Year-In-Review
For the CFTC, 2018 was characterized by (1) an active enforcement program emphasizing cooperation and self-reporting, (2) increasing cross-border tension over supervision of central counterparties, ...
United States
4 Feb 2019
12
Regulation Of Cryptoassets: Imposing Law On The "Wild West"
2018 was a year of international scrutiny for digital currencies. As regulators around the globe wake up to the potential dangers posed by the new technology (now falling under the umbrella term of "cryptoassets"), ...
UK
31 Jan 2019
13
Court Again Rejects A CFTC Manipulation Claim
On November 30, 2018, the Southern District of New York issued an opinion reaffirming the long-standing rule that traders cannot be found liable for illegal market manipulation when their trading was motivated by ...
United States
21 Dec 2018
14
CFTC Proposes Sweeping Changes To Swap Execution Facilities And Trade Execution Requirement
The Commodity Futures Trading Commission (CFTC or Commission) on November 5, 2018, in a 4-1 vote, proposed to fundamentally redesign the regulatory framework governing swap execution facilities
United States
12 Dec 2018
15
New CFTC Pursues New Priorities But Old Challenges Linger
On August 28, 2018, the US Senate confirmed Dan Berkowitz (D) and Dawn Stump (R) as Commissioners of the US Commodity Futures Trading Commission ("CFTC" or "Commission").
United States
10 Dec 2018
16
Currency Fix Trial: An Unpopular SFO Decision Vindicated By The US Courts
The Serious Fraud Office has come in for its fair share of criticism in recent years, but last month, in a New York court room, its judgment was vindicated.
UK
5 Dec 2018
17
CFTC Commissioners Confirmed
On August 28, 2018, the US Senate confirmed Dan M. Berkowitz and Dawn D. Stump to be commissioners of the US Commodity Futures Trading Commission, returning the Commission to its full five-person complement.
United States
31 Aug 2018
18
CFTC Proposes Three Rule Changes
The Commodity Futures Trading Commission on June 4, 2018, in its first public meeting of the year, proposed three rule changes to the rules implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
United States
6 Jun 2018
19
The Financial Conduct Authority's 2018/19 Business Plan
The UK Financial Conduct Authority ("FCA") recently released its 2018/19 Business Plan. The Plan sets out the FCA's priorities for the year ahead across multiple areas, including financial crime.
UK
25 Apr 2018
20
President Trump To Nominate Dan Berkovitz To CFTC
The nomination is subject to confirmation by the US Senate.
United States
18 Apr 2018
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