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23 Jul 2010, 8:55 am
Daniella Laise As we discussed in our post of June 25, the Canadian Securities Administrators (CSA) recently published for comment proposed amendments to National Instrument 31-103 Registration Requirements and Exemptions (31-103), National Instrument 33-109 Registration Information (33-109), and Ontario Securities Commission Rule 33-506 (Commodity Futures Act) Registration Information and related policies and forms (the First Year Amendments). [read post]
7 Feb 2011, 5:10 am
Since then, second-generation mutual recognition arrangements have appeared in many forms ranging from the European Union’s Investment Services Directive (1993) to the Commodity Futures Trading Commission’s acceptance of foreign trading screens (1996) to the Public Accounting Oversight Board’s reliance on auditor inspections conducted by European regulators (2004) to the US-Australia memorandum of understanding on broker-dealers (2008). [read post]
22 Apr 2021, 10:03 pm
Commodity Futures Trading Commission, will likely focus on the regulation of digital currencies and improving corporate disclosure. [read post]
24 Oct 2019, 2:40 pm
**************************** This month the U.S. [read post]
29 Aug 2023, 2:17 pm
In the 1995 case of U.S. v. [read post]
25 May 2022, 9:01 pm
The Pandemic Guidance applies to all publicly traded companies. [read post]
31 Oct 2016, 9:30 pm
Commodities Futures Trading Commission (CFTC) expressed frustration with existing data collection methods, mentioning that some of the market data collection required by the Dodd-Frank Act still have not occurred due to questions about formatting. [read post]
16 Apr 2020, 4:55 am
On March 24, U.S. [read post]
3 Apr 2012, 2:28 pm
Completion of the study then triggered the next phase of the process, requiring that the bank regulators, the Securities and Exchange Commission (“SEC”), and the Commodities Futures Trading Commission (“CFTC”) propose enacting rules within nine months of the study. [read post]
23 Jul 2012, 12:14 am
Commodities Futures Trading Commission announced (here) that Barclays had been ordered to pay a $200 million penalty for attempted manipulation of and false reporting concerning the Libor and Euribor benchmarks. [read post]
26 Aug 2022, 10:56 am
The effect would be similar, but with a stronger emphasis on classifying Ethereum as a commodity — putting it under the purview of the less heavy-handed Commodities Futures Trading Commission (CFTC). [read post]
10 Sep 2013, 4:14 am
The Clean Diamond Trade Act, signed into law by President Bush in 2003, provided for U.S. participation in the Kimberley Process. [read post]
28 Sep 2014, 9:30 pm
Commodity Futures Trading Commission (CFTC), once said that loopholes in the implementation of financial regulation would always exist because the economic power of Wall Street is disproportionally stronger than that of the regulatory agencies. [read post]
28 Sep 2014, 9:30 pm
Commodity Futures Trading Commission (CFTC), once said that loopholes in the implementation of financial regulation would always exist because the economic power of Wall Street is disproportionally stronger than that of the regulatory agencies. [read post]
31 Aug 2016, 9:30 pm
Dodd-Frank also required rulemakings from other administrative agencies, including the Consumer Financial Protection Bureau and Commodities Futures Trading Commission. [read post]
4 Feb 2018, 9:30 pm
Dodd-Frank also authorized the Commodity Futures Trading Commission (CFTC) to take similar actions, and the CFTC is finally ramping up its program. [read post]
2 Feb 2022, 8:00 am
Important categories of recovery and areas where whistleblowers can make a difference are outside the scope of the report, including: Criminal penalties; Recoveries in cases delegated to United States Attorneys’ offices, instead of those handled by the Civil Division; Recoveries by state and local governments Recoveries by the government for fraud against non-governmental entities, such as by the Securities and Exchange Commission or Commodity Futures… [read post]
14 Jan 2021, 4:40 pm
Important categories of recovery and areas where whistleblowers can make a difference are outside the scope of the report, including: Criminal penalties; Recoveries in cases delegated to United States Attorneys’ offices, instead of those handled by the Civil Division; Recoveries by state and local governments Recoveries by the government for fraud against non-governmental entities, such as by the Securities and Exchange Commission or Commodity Futures… [read post]
16 Oct 2022, 9:05 pm
During the Consumer Decade, an unprecedented number of new federal regulatory agencies were established or granted new authority, including the Environmental Protection Agency (EPA), the Occupational Safety and Health Administration (OSHA), the Commodity Futures Trading Commission (CFTC), the National Highway Traffic Safety Administration (NHTSA), and, of course, the CPSC. [read post]
15 Jul 2021, 6:43 pm
Trade Representative, and the U.S. [read post]
