Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
GuernseyFinance
Private equity and hedge fund firm Capricorn Capital Partners has led a group of investors to acquire a significant equity stake in Guernsey-based asset management company RAW Capital Partners.
Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 8 to January 12, 2018.
Cadwalader, Wickersham & Taft LLP
The SEC is requesting comment on the collection of information on Form PF ("Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors").
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance dates, effective dates, reporting deadlines, and nomination dates.
Cadwalader, Wickersham & Taft LLP
The CFTC approved amendments to National Futures Association ("NFA") rules related to disclosures and price adjustments for forex transactions and 2-43.
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") reminded members about certain obligations for commodity pool operators / commodity trading advisors ("CPOs/CTAs") who are exempt from CFTC registration.
Cadwalader, Wickersham & Taft LLP
The CFTC approved technical amendments to Part 3 and Part 9 of its rules.
Cadwalader, Wickersham & Taft LLP
U.S. Senate Committee on Agriculture, Nutrition and Forestry Chair Pat Roberts (R-KS) and Ranking Member Debbie Stabenow (D-MI) expressed support for CFTC Chair J. Christopher Giancarlo's...
Kramer Levin Naftalis & Frankel LLP
The proposal is currently open for public comment.
Carlton Fields
FINRA Rule 4530(a) requires member firms to promptly report certain enumerated events.
Cadwalader, Wickersham & Taft LLP
The CFTC requested comments on the new "CFTC-50" system of records, which was established to process information collected from individuals who use LabCFTC.
Cadwalader, Wickersham & Taft LLP
The CFTC request for comments on a Proposed Interpretation of the term "actual delivery" for virtual currency retail transactions was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
The SEC Division of Investment Management (the "Division") granted no-action relief to any registered investment company that keeps assets in the custody of certain clearinghouses (Chicago Mercantile Exchange ("CME"), ICE Clear Credit LLC ("ICE"), and LCH Limited and LCH.Clearnet LLC (collectively, "LCH")) or any of their clearing members to meet margin requirements for certain swaps that are cleared by the clearinghouses.
Cadwalader, Wickersham & Taft LLP
The CFTC revoked CME Europe Limited's ("CMEEL") foreign board of trade ("FBOT") registration.
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") reminded firms that changes to filing requirements for swap valuation dispute notices and monthly swap dealer ("SD") risk data reports will become applicable in January 2018.
Cadwalader, Wickersham & Taft LLP
The CFTC issued a proposed exemptive order that would allow certain derivatives clearing organizations ("DCOs") to invest futures and swap customer funds in French and German sovereign debt.
Cadwalader, Wickersham & Taft LLP
The CFTC added 21 names to its list of foreign entities that are not registered with the CFTC.
Cadwalader, Wickersham & Taft LLP
The letters are related to CFTC Rule 50.52 (Inter-affiliate exemption for swaps from clearing requirements).
Cadwalader, Wickersham & Taft LLP
The CFTC requested comment on a Proposed Interpretation of the term "actual delivery" in the context of virtual currency retail transactions.
Shearman & Sterling LLP
On December 14, 2017, the Financial Stability Board, the Basel Committee on Banking Standards, the Committee on Payments and Market Infrastructures and the International Organization for Securities...
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Cadwalader, Wickersham & Taft LLP
U.S. Senate Committee on Agriculture, Nutrition and Forestry Chair Pat Roberts (R-KS) and Ranking Member Debbie Stabenow (D-MI) expressed support for CFTC Chair J. Christopher Giancarlo's...
Cadwalader, Wickersham & Taft LLP
The CFTC added 21 names to its list of foreign entities that are not registered with the CFTC.
Cadwalader, Wickersham & Taft LLP
The CFTC issued a proposed exemptive order that would allow certain derivatives clearing organizations ("DCOs") to invest futures and swap customer funds in French and German sovereign debt.
Cadwalader, Wickersham & Taft LLP
The House Financial Services Subcommittee on Monetary Policy and Trade reviewed the history and operations of the Committee on Foreign Investment in the United States ("CFIUS").
Cadwalader, Wickersham & Taft LLP
The SEC Division of Investment Management (the "Division") granted no-action relief to any registered investment company that keeps assets in the custody of certain clearinghouses (Chicago Mercantile Exchange ("CME"), ICE Clear Credit LLC ("ICE"), and LCH Limited and LCH.Clearnet LLC (collectively, "LCH")) or any of their clearing members to meet margin requirements for certain swaps that are cleared by the clearinghouses.
Cadwalader, Wickersham & Taft LLP
The letters are related to CFTC Rule 50.52 (Inter-affiliate exemption for swaps from clearing requirements).
Cadwalader, Wickersham & Taft LLP
The CFTC request for comments on a Proposed Interpretation of the term "actual delivery" for virtual currency retail transactions was published in the Federal Register.
Carlton Fields
FINRA Rule 4530(a) requires member firms to promptly report certain enumerated events.
Cadwalader, Wickersham & Taft LLP
The CFTC requested comment on a Proposed Interpretation of the term "actual delivery" in the context of virtual currency retail transactions.
Kramer Levin Naftalis & Frankel LLP
The CFTC's Division of Swap Dealer and Intermediary Oversight issued interpretative guidance stating that a futures commission merchant (FCM), swap dealer (SD), ...
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