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October 12, 2016, Covington Alert
Insider trading is a familiar term to participants in the equities markets; however, this term now has application in the swaps, futures, and commodities markets regulated by the U.S. Commodity Futures Trading Commission (CFTC). In a time of aggressive enforcement, financial market participants should be aware that insider trading is a high priority for the CFTC enforcement program.
August 30, 2016, Covington Alert
As election season enters full swing, with political candidates at all levels actively soliciting campaign donations from individuals and companies, it is an ideal time for all companies to review the policies and procedures in place for political donations. While the SEC’s pay-to-play rules governing registered investment advisers and their “covered associates” ...
July 1, 2016, Journal of Investment Compliance
June 9, 2016, The Trade
Stephen Humenik participated in a panel discussion at the Fixed Income Leaders Summit and is quoted in this The Trade article regarding the European Securities and Markets Authority’s ability to implement the MiFID II rules on bond trading without the necessary resources. According to Humenik, “Firms should go early and go often to speak with regulators in ...