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Capital Markets › Futures

WilmerHale

Strategic Considerations for Transactions Involving CFTC-Registered Entities

WilmerHale on

With the Presidential and Congressional transitions taking place this month, we expect increased investment and transactional activity in capital markets. This will likely include trading platforms, exchanges, clearinghouses,...more

Katten Muchin Rosenman LLP

The CFTC Codifies the Letter 19-17 Compliance Processes Around Separately Margined Accounts

Katten Muchin Rosenman LLP on

In 2014, the Joint Audit Committee issued a Regulatory Alert insisting that futures commission merchant (FCM) clearing members treat separate accounts of the same beneficial owner as a single account for purposes of US...more

Cadwalader, Wickersham & Taft LLP

CFTC Extends OCR Final Rule Relief

Cadwalader, Wickersham & Taft LLP on

On September 22, 2023, the Commodity Futures Trading Commission’s (the “CFTC” or the “Commission") Division of Market Oversight extended its no-action position regarding certain large trader reporting (“LTR”) obligations for...more

Jones Day

Consultation Conclusions on Proposed Amendments to Enforcement-Related Provisions of Hong Kong's SFO

Jones Day on

On 8 August 2023, the Securities and Futures Commission of Hong Kong ("SFC") published consultation conclusions on proposed amendments to enforcement-related provisions of the Securities and Futures Ordinance ("SFO")....more

Morgan Lewis - Power & Pipes

CFTC Releases Interim Report into April WTI Futures Price Collapse; Commissioner Berkovitz Issues Scathing Critique

Morgan Lewis - Power & Pipes on

The Commodity Futures Trading Commission (CFTC) recently issued an interim report by CFTC Staff on the April 2020 price collapse of the West Texas Intermediate light sweet crude oil futures contract (WTI Futures Contract)....more

Hogan Lovells

Monthly Hong Kong Corporate Insights | March 2020

Hogan Lovells on

Equity Capital Markets - First Listing of Iron Ore Futures ETF - The Stock Exchange of Hong Kong Limited ("SEHK") welcomed its first iron ore futures Exchange Traded Fund ("ETF") – SSIF DCE Iron Ore Futures Index ETF...more

Robins Kaplan LLP

Financial Daily Dose 2.24.2020 | Top Story: Wells Fargo to Pay $3 Billion to Resolve DOJ and SEC Investigations

Robins Kaplan LLP on

Wells Fargo & Co. agreed to pay a total of $3 billion to resolve criminal and civil investigations by the DOJ and SEC. Wells Fargo admitted “that it took millions in wrongful fees and interest, misused customer information...more

Hogan Lovells

Energy and metals companies and funds beware: Your trading positions may be "limited"

Hogan Lovells on

On 30 January 2020 the Commodity Futures Trading Commission (CFTC) approved on a 3-2 vote proposed rules addressing position limits on speculative derivatives (Position Limits Proposal). The Position Limits Proposal has a...more

Katten Muchin Rosenman LLP

Bridging the Week - March 2015 #4

Katten Muchin Rosenman LLP on

ICE Futures Fined US $3 Million by CFTC for Reporting Errors and Untimely Response to Inquiries - The Commodity Futures Trading Commission fined ICE Futures U.S., Inc. US $3 million last week for filing allegedly...more

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