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Practical advice for responding to investigations in the commodities/derivatives space
A senior prosecutor from the DOJ's Market Integrity and Major Frauds unit and a senior enforcement attorney from the CFTC will join a panel of Clifford Chance attorneys to discuss and analyze recent cases and various hypothetical scenarios of investigation to assist in-house counsel in identifying potential pitfalls that can lead to charges.
CONTINUE READINGAPAC cross border trading: challenges and opportunities
Whether it’s inter-regional or global, there are consistent dynamics which shape the exchange traded derivatives industry.
CONTINUE READINGFIA legal opinions refresher
If you are an experienced user of FIA legal opinions, new to the world of FIA netting and other legal opinions for regulatory capital purposes or just curious as to why FIA maintains a library of legal opinions, please tune in to this FIA webinar where experts from Clifford Chance LLP and FIA will explain the types of legal opinions that FIA maintains, their structure and purpose in the context of regulatory capital requirements.
CONTINUE READINGCFTC’s Jurisdiction over Fraud in the Cash Markets: Are there any Limits?
The Dodd Frank Act added a Section 6(c)(1) to the Commodity Exchange Act, entitled “Prohibition Against Manipulation.” Section 6(c)(1) authorized the CFTC to promulgate rules and regulations prohibiting any person to use or employ any manipulative or deceptive device or contrivance in connection with, among other things, a contract for sale of any commodity in interstate commerce. Are there any limits to the application of the resulting CFTC regulation parroting 6(c)(1)’s language prohibiting the use of manipulative or deceptive devices in the sale of a commodity in interstate commerce?
CONTINUE READINGCybersecurity Workshop
Is your firm prepared for a ransomware attack? Join the Market Technology Division on Tuesday, October 29 for an interactive cybersecurity workshop that takes you through a ransomware scenario that potentially poses systemic risk to the futures markets and participants. Bring your colleagues that would need to collaborate under a dramatic market disruption scenario, including teams that need to communicate, address issues and ensure business continuity on behalf of the clearing house, clearing members and buy-side participants.
CONTINUE READINGCompliance and Regulation Forum: The Future of Cross-border Market Regulation
The UK’s departure from Europe is changing the nature of cross-border market regulation with strains developing between the EU and third countries. This member-forum will consider the future of the equivalence approach and how this will impact access to market infrastructure across borders, as well as discussing how third-country firms can continue to provide services to clients in Europe.
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