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International (330)
Your search for International returned 330 results.
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5/10/2019 | Content area: Broker-Dealer
The Securities and Exchange Commission (“SEC” or “Commission”) is proposing a number of actions to address the cross-border application of certain sec...
5/10/2019 | Content area: Broker-Dealer
Nearly a decade after the Dodd-Frank law took effect, SEC commissioners have proposed revisions to how it regulates the law’s provisions related to th...
5/10/2019 | Content area: CPO/CTA
We want to map the inter-connectedness of regulated derivatives markets to the broader financial system and study risk transmission throughout. Undou...
5/08/2019 | Content area: CPO/CTA
It is critical that the CFTC continues to work positively with its overseas regulatory counterparts, not just in the UK, but in all financial centers....
5/02/2019 | Content area: Investment Adviser
While reports have drifted in for months that OCIE was holding up advisers’ registration applications from firms in the EU after the GDPR took effect ...
5/02/2019 | Content area: CPO/CTA
It’s more than one year away when many hedge funds and other entities that engage in significant swap deals will have to begin to post and collect ini...
4/23/2019 | Content area: Private Fund
in a newsletter emailed to Fund investors on September 8, 2016, Bruce inaccurately stated that he had “spent a great deal of time doing my diligence o...
4/15/2019 | Content area: CPO/CTA
The Follow-Up Group has three important tasks: •Examine instances of market fragmentation in securities and derivatives markets, and the potential re...
4/05/2019 | Content area: CPO/CTA
No-action relief granted to ensure the continued availability, following Brexit, of regulatory relief under certain existing CFTC comparability determ...
4/05/2019 | Content area: CPO/CTA
This staff letter ensures that existing regulatory relief provided by DSIO, DMO, and DCR pursuant to certain existing staff letters affecting EU entit...
4/04/2019 | Content area: Investment Adviser
Should your firm do business in Germany, know that the regulator there, BaFIN, is fining U.S.-based advisers that fail to file required disclosures on...
4/04/2019 | Content area: CPO/CTA
Europe and the United States must continue to show the world that we can work together. Europe invented entrepreneurship, and America embraced it. T...
4/02/2019 | Content area: CPO/CTA
No-action relief granted to an entity for its branch from registration as an IB pursuant to CEA Section 4d(g) to provide sufficient time for the Commi...
3/28/2019 | Content area: CPO/CTA
An unanimous vote greeted a new interim final rule from the CFTC last week that aims to bring “regulatory certainty” to an international swaps market ...
3/27/2019 | Content area: CPO/CTA
making this substituted compliance determination, Commission staff has conducted a principles-based, holistic analysis that focuses on regulatory out...
3/26/2019 | Content area: CPO/CTA
This overly complex and unduly narrow approach was reflected in the original comparability determination for Japan, which left firms subject to an imp...
3/25/2019 | Content area: CPO/CTA
The United Kingdom (“UK”) has provided formal notice of its intention to withdraw from the European Union (“EU”). The withdrawal may happen as soon as...
3/18/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that Lerman negiligently engaged in conduct in connection with the offering of interests in Pangaea Trading Partner...
3/18/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that Gladtke engaged in a scheme to defraud investors who purchased units in Pangaea, a holding company that held i...
3/18/2019 | Content area: Broker-Dealer
The Commission’s complaint alleged that DePalo engaged in a scheme to defraud investors who purchased units in Pangaea, a holding company that held it...


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