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September 2014, Network of Trial Law Firms, Financial Services Super Course
March 31, 2017, Cov Financial Services
CFTC Acting Chairman Chris Giancarlo recently announced some organizational changes within the CFTC’s Divisions that will enhance the agency’s ability to investigate market abuse. Further, Acting Chairman Giancarlo recently announced the appointment of federal prosecutor James M. McDonald as the agency’s new Director of Enforcement. Covington’s Futures and ...
On March 27, 2017, the Commodity Futures Trading Commission (“CFTC”) announced it entered into a consent order with Davisco Foods International, Inc. (“Davisco”), a dairy company, to settle allegations that Davisco acted as a futures commission merchant (“FCM”) for its milk suppliers without registering as an FCM. Section 4d of the Commodity Exchange Act ...
February 10, 2017, Cov Financial Services
CME has issued a Special Executive Report listing out amendments to Rule 432 (General Offenses) of the CME, CBOT, NYMEX, COMEX, and CME SEF rulebooks. These amendments are aimed at specifically prohibiting: attempted fraudulent or bad faith actions; the intentional or reckless use or attempted use of a manipulative device, scheme or artifice to defraud; … ...