United States: CFTC Update: CPO And CTA Annual Affirmation Obligation - Fried Frank Harris Shriver & Jacobson
The Commodity Futures Trading Commission has issued final rules which require any person claiming an exemption or exclusion from registration as a commodity pool operator under CFTC Regulations 4.5, 4.13(a)(2), 4.13(a)(3), 4.13(a)(5) or an exemption from registration as a commodity trading advisor under CFTC Regulation 4.14(a)(8) to annually affirm their notice of exemption or exclusion within 60 days of the calendar year end.
affirmation
cftc
commission
commodity
cpo
cta
exclusion
exemption
frank
fried
harris
jacobson
notice
obligations
registration
regulations
shriver
states
united
update
Found more than 1 month ago on channel
Mondaq
United States: CIVIL FALSE CLAIMS ACT: Sixth Circuit Reverses $82 Million FCA Judgment That Would Have Punished A Company "Solely For Seeking To Maximize Profits" Under Federal Regulations - Fried Frank Harris Shriver & Jacobson
In a decision last week, the Sixth Circuit announced a much-needed common sense approach to the application of the civil False Claims Act ("FCA") in a complex regulatory environment.
act
application
circuit
civil
decision
environment
fca
federal
frank
fried
harris
jacobson
judgment
regulations
reverses
shriver
states
united
Found more than 1 month ago on channel
Mondaq
United States: SEC Proposal Would Allow General Solicitation In Regulation D (Rule 506) And Rule 144A Offerings - Fried Frank Harris Shriver & Jacobson
On August 29, 2012, the Securities & Exchange Commission approved proposed rules to implement Section 201(a) of the Jumpstart Our Business Startups Act.
act
business
commission
exchange
frank
fried
general
harris
implement
jacobson
jumpstart
regulations
sec
section
securities
shriver
solicitation
startups
states
united
Found more than 1 month ago on channel
Mondaq
United States: CFTC Update: Proposed Guidance On Cross-Border Application Of Swaps Provisions Of The Dodd-Frank Act & Proposed Interpretive Order Regarding Phased Compliance Program For Certain Swap Regulations - Fried Frank Harris Shriver & Jacobson
On June 29, 2012, the Commodity Futures Trading Commission (the "CFTC" or the "Commission") approved two notices addressing the application of certain swap provisions under The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act")1 to U.S. and non-U.S.2 swap dealers ("SDs"), major swap participants ("MSPs") and their foreign affiliates, and other related issues.
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application
cftc
commission
commodities
compliance
dodd-frank
frank
fried
guidance
harris
jacobson
msps
non-u
notice
protection
provisions
regulations
sds
shriver
states
street
united
update
wall
Found more than 1 month ago on channel
Mondaq
Hong Kong: SFC Proposals To Enhance Regulation Of IPO Sponsors In Hong Kong - Fried Frank Harris Shriver & Jacobson
Hong Kong has become one of the world’s leading destinations for initial public offerings and has recently experienced record years in terms of the number of listings and overall deal value.
destination
enhance
frank
fried
harris
hong kong
ipo
jacobson
regulations
sfc
shriver
Found more than 1 month ago on channel
Mondaq