International

For many years, the SEC has cooperated extensively with our international partners and these relationships and cooperative arrangements have given us the ability to leverage ...

Four international financial standards are now available for commodity pool operators that are run from outside the U.S. The CFTC has approved a final rule ...

The Division will not recommend that the Commission take an enforcement action against a non-U.S. SD or a non-U.S. MSP established in Australia, Canada, the ...

This matter concerns violations of the anti-bribery, books and records, and internal controls provisions of the Foreign Corrupt Practices Act (“FCPA”) by JPMorgan. Between 2006 ...

The National Futures Association has reached across the Atlantic yet again to fine a foreign-based CPO/CTA $60,000 for commingling offshore pool funds, sending investors error-ridden ...

From at least 2002 through 2013, Respondents, through actions of certain of their RMs, engaged in broker-dealer activities with U.S. customers. Among other actions, RMs ...

The Proposed Rule defines key terms for purposes of applying the CEA’s swap provisions to cross-border transactions and addresses the cross-border application of the registration ...

There have been at least twelve major flash crashes since the passage of the Dodd-Frank Act.4 The growing incidence of these events shakes confidence in ...

Although I do not agree with every part of the proposal, I believe the proposal and questions lay out the key issues to allow for ...

Another month, another memorandum of understanding signed by the CFTC. This time with the UK’s regulator, the Financial Conduct Authority.   The reason for the ...