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Ziliak Law, LLC
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Ziliak Law, LLC's posts

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OCIE has published its 2017 examination priorities, and much like FINRA's previously, there is a focus on risks specific to the elderly. In addition, OCIE is concerned with potential risks to retail investors.

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By delaying enforcement to allow swap dealers to install new systems that comply with rules on variation margin, the #CFTC gave dealers quite the Valentine's Day present last month. #swaptrading #regulation

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FINRA's 2017 Annual Regulatory and Examination Priorities Letter states five priority areas the authority will focus on in its 2017 exams with core issues of compliance, supervision and risk management. #FINRA #compliance #FINRA2017Letter
#FINRAexams #riskmanagement

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Unlike under CME Rule 432 as it stood until last week, proof of actual bad faith, market manipulation, or dissemination of misleading materials is no longer required, so long as the respondent is found to have attempted to achieve such wrongful ends.

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Unlike under CME Rule 432 as it stood until last week, proof of actual bad faith, market manipulation, or dissemination of misleading materials is no longer required, so long as the respondent is found to have attempted to achieve such wrongful ends. #CMERules #CFTCregulations

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This Order and the examples therein highlight important compliance issues for any CFTC registrant. Here's what they should do to avoid similar CFTC enforcement and penalties.

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We are pleased to announce Ashley Jeselnik Morrison is now leading our Entertainment Law practice! Ashley joined our team last September and has been a valuable asset to our clients. A former professional figure skater, Ashley's personal experience in the industry means she understands the legal challenges entertainers and athletes face. http://ow.ly/ouUl308Q22T

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The UK Supreme Court ruling that the authority to trigger Brexit belongs to Parliament and the subsequent delegation of that authority back to the PM continue the atmosphere of uncertainty and tension. http://ow.ly/FBT9308OPZL

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Emmett McGrath has joined our corporate and financial industry practices as an Associate. A graduate of the John Marshall Law School, Emmett previously worked in the corn futures pit on the Chicago Board of Trade's grain floor. His background will be an asset to all our clients - welcome, Emmett! #bizlaw #futures #fintech #CBOT #startups

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Sarao pleads guilty, becomes second person after Michael Coscia to be held liable under Dodd-Frank’s prohibition of spoofing. #spoofing #fintech #NavinderSarao #MichaelCoscia #DoddFrank
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