This Client Alert White Paper serves as a comprehensive guide to the new rule, which largely supersedes prior CFTC guidance that had informed market practice for over seven years.
Key Points:
..The new rule became...more
How should broker-dealers, investment advisers, and other registered firms in the US, UK, and Hong Kong address cryptocurrencies in their compliance programs?
Originally published on bloombergbna.com on April 16,...more
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
A roadmap through the various regulations and tax implications can help ensure a successful offering.
Non-US private equity sponsors frequently seek to market their funds to US institutional investors. However, the...more
Mirroring existing SEC authority, the CFTC’s proposal would allow it to impose sanctions for retaliation against whistleblowers.
On August 30, 2016, the US Commodity Futures Trading Commission (CFTC) published proposed...more
While the US gears up for compliance with uncleared swap margin rules, cross-border application of the CFTC rules remains unclear.
The US Commodity Futures Trading Commission (the CFTC) finalized its margin requirements...more
2/22/2016
/ CFTC ,
Cross-Border ,
Derivatives ,
EMIR ,
EU ,
Margin Requirements ,
Market Participants ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Uncleared Swaps
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
Assessing the practical implications of derivatives regulations for investment advisers and investment funds of: position limits and aggregation rules, uncleared swaps margin rules, etc.
Since the enactment of the...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
SEC has published reporting obligations for SBS without a finalized compliance schedule. Reporting rules for cleared and platform-executed SBS and certain cross-border transactions have not yet been finalized.
On...more