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:
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.
October 23, 2016
October 16, 2016
October 09, 2016
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