Cadwalader, Wickersham & Taft LLP Washington, DC Document Search Results (40)
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|A Signal of Things to Come? New CME Rule 512 Reflects Modified Stance for Violations of Futures and Options Reporting Requirements|
Athena Yvonne Eastwood, Jonathan H. Flynn, Neal E. Kumar, Gregory George Mocek, Mary Treanor; Cadwalader, Wickersham & Taft LLP;
April 27, 2015, previously published on April 13, 2015On March 24, 2015, the CME Group, Inc. (“CME”) announced a proposed amendment to Rule 512 indicating that it will impose a minimum fine of $1,000 for repeat violations of its exchanges’ reporting rules for futures and options. The amendment, which became effective on April 7, 2015...
|Truthful . . . but Not Forthcoming? FERC Staff Takes Aggressive View of Material Omissions as Basis for Intent in Maxim Power|
Gregory K. Lawrence, Thomas Reid Millar, Mary Treanor; Cadwalader, Wickersham & Taft LLP;
April 17, 2015, previously published on March 30, 2015Recent positions taken by FERC’s Enforcement Staff in the Maxim Power show cause proceeding add to the uncertainty regarding what information market participants must volunteer when communicating with the Commission, ISOs/RTOs, market monitors and others. We have recently written about Maxim...
|CFTC Issues No-Action Relief for Amended Legacy Swaps between SDs and SPVs|
Douglas J. Donahue, Ivan Loncar, Paul J. Pantano, Nihal S. Patel; Cadwalader, Wickersham & Taft LLP;
April 17, 2015, previously published on April 1, 2015On March 31, 2015, the Division of Swap Dealer and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (the “CFTC”) issued no-action relief regarding compliance with certain of its swap regulations, including, but not limited to, business...
|Department of Justice Antitrust Division Charges Former E-Commerce Executive with Price-Fixing in First Ever Online Marketplace Prosecution|
Joseph J. Bial, Anthony V. Nanni, Charles F. (Rick) Rule, Eric Sega; Cadwalader, Wickersham & Taft LLP;
April 17, 2015, previously published on April 7, 2015On April 6, 2015, the Department of Justice Antitrust Division announced that David Topkins, a former executive of an e-commerce seller of wall décor, had pled guilty to a one-count felony charge for conspiring to fix the prices of certain posters sold in the United States through Amazon...
|FinCEN Assesses $1 Million Penalty and Seeks to Bar Former MoneyGram Executive from Financial Industry|
Jodi L. Avergun, James A. Treanor; Cadwalader, Wickersham & Taft LLP;
April 14, 2015, previously published on December 22, 2014On December 18, 2014, the Financial Crimes Enforcement Network (“FinCEN”) assessed a $1 million civil monetary penalty against Thomas E. Haider, former Chief Compliance Officer at MoneyGram International Inc., for allegedly failing to ensure that his company complied with the anti-money...
|The Suprema Federal Circuit En Banc Hearing: The Full Court's Decision May Impact the ITC's Remedial Authority|
Alexander J. Hadjis, Tihua Huang, Steven L. Rushing, Kristin L. Yohannan; Cadwalader, Wickersham & Taft LLP;
March 26, 2015, previously published on February 20, 2015On February 5, 2015, the Federal Circuit sat en banc and heard oral argument after vacating a panel decision in Suprema, Inc. v. Int’l Trade Comm’n, 742 F.3d 1350 (Fed. Cir. 2013). The panel decided that the ITC lacks statutory authority to enter an exclusion order to remedy the induced...
|The Obama Administration’s Personal Data Notification & Protection Act: An Analysis|
Peter Carey, Kenneth L. Wainstein; Cadwalader, Wickersham & Taft LLP;
March 26, 2015, previously published on February 12, 2015On January 12, 2015, President Obama proposed the Personal Data Notification & Protection Act, which would create a federal standard for data breach notification. The proposed bill is part of a more wide-ranging effort by the Obama administration to shore up the nation’s cybersecurity....
|Court Finds CFTC RTO/ISO Exemptive Order Bars CEA § 22 Private Right of Action, but More to Come from the CFTC|
Gregory K. Lawrence, Christopher J. Polito, Lamiya Rahman; Cadwalader, Wickersham & Taft LLP;
March 26, 2015, previously published on February 17, 2015Can private litigants bring claims under the Commodity Exchange Act alleging manipulation in ERCOT’s energy markets? On February 3, the U.S. District Court for the Southern District of Texas answered “no,” granting defendants’ motion to dismiss in Aspire Commodities v. GDF...
|Takeaways from the Ninth Circuit’s Opinion Affirming the FTC’s Victory Against the St. Luke's/Saltzer Merger|
Andrew J. Forman, Daniel J. Howley, Jonathan S. Kanter, Charles F. (Rick) Rule, Eric Sega; Cadwalader, Wickersham & Taft LLP;
March 26, 2015, previously published on February 12, 2015On February 10, 2015, the United States Court of Appeals for the Ninth Circuit affirmed a district court’s ruling that St. Luke’s Health System’s acquisition of the independent physician group Saltzer Medical Group violated the antitrust laws. This appellate victory is another in...
|New Exchange Rules on Disruptive Trading Practices Summary Chart|
Sohair A. Aguirre, Isabelle S. Corbett, Athena Yvonne Eastwood, Jonathan H. Flynn, Neal E. Kumar; Cadwalader, Wickersham & Taft LLP;
March 25, 2015, previously published on February 06, 2015On January 14, 2015, the Intercontinental Exchange (“ICE”) rule prohibiting disruptive trading practices (ICE Rule 4.02) became effective. The ICE Rule is substantively the same as Rule 575 passed by the Chicago Mercantile Exchange Inc., the Board of Trade of the City of Chicago, the...