In this issue:
- CFTC’s Energy and Environmental Markets Advisory Committee To Hold Meeting
- CFTC Announces Members of Market Risk Advisory Committee
- NFA Notifies SDs and MSPs of Annual Questionnaire...more
2/23/2015
/ CFOs ,
CFTC ,
Derivatives ,
Dodd-Frank ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Statements ,
Foreign Exchanges ,
MiFID II ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Stock Sale Agreements ,
UK ,
Whistleblowers
In this issue:
- Proxy Advisory Firms Release Policy Updates for 2015
- CBOE Makes Enhancements to Its Market-Maker Trade Notification System
- OTC Derivatives Regulators Group Issues Report to G20...more
11/17/2014
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
CBOE ,
CFTC ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
G20 ,
Glass Lewis ,
Institutional Shareholder Services (ISS) ,
Market Making ,
Over The Counter Derivatives (OTC) ,
Prepaid Payment Products ,
Proxy Season ,
Proxy Voting Guidelines