25 Oct, 2024 The CFTC Amends Part 40 to Streamline and Improve Product Submission Processes By Carl Kennedy Nicholas Gervasi The Commodity Futures Trading Commission (CFTC) finalized amendments to its regulations governing how CFTC-registered exchanges,...
18 Oct, 2024 Counting Down to DORA Compliance: Recent Developments By Nathaniel Lalone Ciara McBrien With less than three months remaining until the implementation date of the EU Digital Operational Resilience Act (DORA), this note...
02 Oct, 2024 A Greener Tomorrow: CFTC Issues Final Guidance for Listing Voluntary Carbon Credit Derivatives By Carl Kennedy After five years of consultations, public meetings and roundtable discussions, the Commodity Futures Trading Commission (CFTC or...
05 Sep, 2024 CFTC’s Uniswap Settlement Sparks Debate on DeFi Regulation By Dan Davis Alex Kim The Commodity Futures Trading Commission (CFTC) continues to expand its regulatory reach in the decentralized finance (DeFi) space, this...
16 Aug, 2024 SEC Scrutiny into Cash Sweep Programs: What Investment Advisers Need to Know By Michael Diver Susan Light Wayne Aaron Lindsey Smith David Luger David Goldberg +3 more... Show less In recent years, the US Securities and Exchange Commission (SEC) has initiated several probes into how advisory firms manage their cash...
15 Aug, 2024 Crypto Compliance in Focus: FINRA Unveils Key Insights on Member Firms’ Digital Asset Activities By Susan Light James Brady Alex Kim The Financial Industry Regulatory Authority (FINRA) released a comprehensive update on its insights into its member firms’ involvement in...
12 Aug, 2024 Court Denies SEC’s Request for Disgorgement in Ripple Case By Dan Davis Alex Kim In a setback to the Securities and Exchange Commission’s (SEC) crypto enforcement efforts, a federal court has denied the agency’s...
09 Aug, 2024 (mis)Conduct, Money & Reputation: A Look at Equifax, CrowdStrike & Cybersecurity By Katten Muchin Rosenman LLP Cybersecurity continues to dominate headlines, concern investors and have substantial and very real implications for asset and wealth...
02 Aug, 2024 Artists Sue SEC, Challenging Agency’s Authority Over Digital Art and NFTs By Alex Kim Two artists have filed a lawsuit against the Securities and Exchange Commission (SEC), contesting the agency’s assertion of authority...
31 Jul, 2024 FinCEN Proposes Enhanced AML Rules By Susan Light Eli Krasnow On July 3, the Financial Crimes Enforcement Network (FinCEN) published a proposed rule (the Proposal) to strengthen and modernize...
09 Jul, 2024 Ether’s Legal Status Clarified? CFTC Scores Win as Court Backs Agency’s Commodity Classification By Dan Davis Alex Kim In a victory for the Commodity Futures Trading Commission (CFTC), a federal court has granted summary judgment in favor of the agency in...
02 Jul, 2024 SEC Targets Crypto Infrastructure Provider: Consensys Charged with Operating Unregistered Broker and Selling Unregistered Securities By Dan Davis Alex Kim In a significant escalation of its crypto enforcement efforts, the Securities and Exchange Commission (SEC) has filed charges against...
01 Jul, 2024 A Timely Reminder from CME Market Regulation of the Broad Reach of the Duty to Supervise By Stephen Morris The CME has issued a revised Market Regulation Advisory Notice on Supervisory Responsibilities for Employees and Agents that includes a...
20 Jun, 2024 Redefining Limits: The CFTC's Updated Block and Cap Sizes for 2024 By Carl Kennedy Nicholas Gervasi The Division of Data (DOD) of the Commodity Futures Trading Commission (CFTC or the Commission) published updated post-initial...
17 Jun, 2024 CFTC Chairman Behnam Discusses the Regulatory Outlook Towards Voluntary Carbon Markets By Johnjerica Hodge India Williams Nicholas Gervasi Commodity Futures Trading Commission (CFTC) Chairman Rostin Behnam recently spoke about voluntary carbon markets (VCMs) in a speech...
23 Apr, 2024 Whistleblower Rewards Program Update: DOJ Explains and Expands Pilot Program for Voluntary Disclosures By Ryan Meyer Ryan Dean On April 15, the Department of Justice (DOJ) publicly released a memorandum fleshing out its previously announced corporate whistleblower...