As the COVID-19 pandemic continues, many SEC deadlines and requirements have been amended or relief has been granted. Most recently, in the “Staff’s Responses to Questions about Custody,” the...... More »
On March 20, the Commodity Futures Trading Commission (CFTC) announced no-action relief (the “Letter”) for Commodity Pool Operators (CPOs). On March 23, the National Futures Association (NFA) issued a...... More »
On Friday, March 13, 2020, the SEC issued two orders granting regulatory relief for certain investment advisers affected by the spread of COVID-19. Specifically, the relief applies to in-person...... More »
Regulatory Updates 6 Financial Institutions Ordered to Pay More Than $6 Million for Reporting Failures On Oct. 1, the Commodity Futures Trading Commission (CFTC) issued orders to six banks...... More »
Today, the European Securities and Markets Authority (ESMA) issued a decision temporarily lowering the notification thresholds of net short positions in relation to EU listed equities. The previous limit of 0.2%...... More »