International

Based upon the representations made in the Correspondence, the Division will not recommend that the Commission commence any enforcement action against “A” for failure to ...

“It’s very frustrating,” says another source close to the issue

Chairman seeks to fix "flaws" in the rules

in a newsletter emailed to Fund investors on September 8, 2016, Bruce inaccurately stated that he had “spent a great deal of time doing my ...

The Follow-Up Group has three important tasks: •Examine instances of market fragmentation in securities and derivatives markets, and the potential reasons why fragmentation developed. •Take stock of ...

No-action relief granted to ensure the continued availability, following Brexit, of regulatory relief under certain existing CFTC comparability determinations and exemption orders originally issued by ...

This staff letter ensures that existing regulatory relief provided by DSIO, DMO, and DCR pursuant to certain existing staff letters affecting EU entities continues to ...

Europe and the United States must continue to show the world that we can work together. Europe invented entrepreneurship, and America embraced it. ...

Should your firm do business in Germany, know that the regulator there, BaFIN, is fining U.S.-based advisers that fail to file required disclosures on time. ...

No-action relief granted to an entity for its branch from registration as an IB pursuant to CEA Section 4d(g) to provide sufficient time for the ...