The Business Conduct Committees of the Chicago Mercantile Exchange and the Chicago Board of Trade sanctioned several firms and traders for wash trading, exceeding position limits, and disruptive trading practices.
News & Insights
21984 News Results
The SEC Division of Corporation Finance provided guidance on issuer disclosure obligations concerning intellectual property and technology risks related to international business operations.
The CFTC proposal to implement an alternative compliance framework for the inter-affiliate swaps clearing exemption was published in the Federal Register.
The Futures Industry Association, the MFA, SIFMA and the Institute of International Bankers, and SIFMA AMG offered recommendations on the CFTC's proposed amendments to uncleared swap margin regulations.
In its Annual Report, the SEC Investor Advocate identified several areas of concern for investors, including: (i) reverse factoring; (ii) dual-class share structures and (iii) LIBOR transition issues.