Cadwalader Cabinet General Counsel

Oct 1: SEF, Know Thy Sefness


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CFTC staff issues SEF Registration Advisory. CFTC charges communications company with acting as unregistered SEF. FCA consults on synthetic LIBOR, use of LIBOR post-2022. SEC Chair highlights asset management regulatory developments. FINRA board approves continuing education fee proposal. Swap dealer settles CFTC charges for counterparty disclosure violations. SEC charges compliance analyst with insider trading.

OFAC issues Iran-related FAQ.

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Cadwalader Cabinet General CounselBy Cadwalader Cabinet