Bridging the Week by Gary DeWaal: October 17 to 21 and October 24, 2016 (Floor Trader Registration; Source Code; Soliciting From Abroad; Liability May Not Equal Fines)

Published Date: October 24, 2016

Amendments to proposed Regulation AT will likely be issued by the Commodity Futures Trading Commission very soon in a supplemental proposal that will modify, but not eliminate, initial requirements related to registration, source code and who is obligated to maintain risk controls. In addition, related non-US bank entities settled with the Securities and Exchange Commission for advising and handling securities transactions with US persons for over a decade without appropriate registration. As a result, the following matters are covered in this week’s edition of Bridging the Week:

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Gary DeWaal

Gary DeWaal is currently Special Counsel with Katten Muchin Rosenman LLP in its New York office focusing on financial services regulatory matters. He provides advisory services and assists with investigations and litigation.

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Gary DeWaal
Katten Muchin Rosenman LLP
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New York, NY 10022-2585


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