Summary of private equity firms’ compliance obligations, discussion of notable developments in 2017, and outlook for 2018.
US federal laws and regulations, as well as the rules of self-regulatory organizations (SROs),...more
In the almost six years since the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), the US Commodity Futures Trading Commission (CFTC) has, in large part, finalized its rulemakings...more
3/2/2016
/ Aggregation Rules ,
CFTC ,
Derivatives ,
Dodd-Frank ,
Energy Sector ,
Margin Requirements ,
Position Limits ,
Recordkeeping Requirements ,
Reporting Requirements ,
Swaps ,
Trade Options ,
Uncleared Swaps
The CFTC provides the market additional time to submit Form TO while considering further amendments to trade option reporting rules.
On February 18, 2016, the US Commodity Futures Trading Commission's (the CFTC) Division...more
The proposal would place restrictions on certain investment funds to limit their use of derivatives and require certain risk management procedures.
On December 11, 2015, the US Securities and Exchange Commission (SEC)...more
If finalized, the proposed rule would be the SEC’s second major step toward finalizing the cross-border rules for security-based swaps under the Dodd-Frank Act.
On April 29, 2015, the US Securities and Exchange...more