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of the reporting requirements also applies to commercial end users transacting in trade options connected to their business. Regarding the reporting requirement, the annual notice reporting requirement for otherwise unreported…

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At the end of this month, the annual updating amendments for investment advisers’ Form ADV will be due. The following are some of the important annual compliance obligations investment…

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outsourced, and (c) how an effective compliance leader can prevent and detect any problems and be truly effective in preparing the firm for SEC examinations. CONTINUE READING…  Print…

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On January 11, the Office of Compliance Inspections and Examinations (OCIE) of the SEC announced its 2016 Examination Priorities (“Priorities”). To promote compliance, prevent fraud and identify market risk,…

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Commodities Fraud Section in Chicago, which will continue to criminally prosecute these types of violations.” High-frequency traders should take note that the conviction on all six counts of spoofing charged…

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regulation, the phase-in period will terminate on December 31, 2017, and the de minimis threshold will fall to $3 billion, unless the CFTC sets a different termination date for the…

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not reflect their economic agreement.  While the changes aren’t effective for quite some time (returns for taxable years beginning after December 31, 2017) and while there are likely to be…

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On December 1, 2015, the Securities and Exchange Commission (SEC) charged GAW Miners, LLC (“GAW Miners”), ZenMiner, LLC (“ZenMiner”) and Homero Joshua Garza (“Garza”) the managing member of both…

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The Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released a “Risk Alert” on November 9, 2015, the purpose of which is to raise awareness…

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Yesterday, Pillsbury hosted the first in a series of risk management and regulatory compliance round tables for fintech companies. The meetings will explore technology-related risk and compliance issues in…