The Commodity Futures Trading Commission ("CFTC") recently proposed new and modified conflicts of interest, fitness, and governance regulations for swap execution facilities ("SEFs") and designated contract markets ("DCMs")....more
3/11/2024
/ CFTC ,
Commodity Futures Modernization Act of 2000 (CFMA) ,
Corporate Governance ,
Derivatives ,
Designated Contract Markets (DCMs) ,
Dodd-Frank ,
Financial Markets ,
Proposed Rules ,
Regulatory Requirements ,
Swap Execution Facilities ,
Swaps
In Short -
The Situation: The Federal Deposit Insurance Corporation ("FDIC") has proposed significant amendments (the "Proposal") to its rule requiring covered insured depository institutions ("CIDIs") to prepare and file...more
In Short -
The Situation: The civil action of the Commodity Futures Trading Commission ("CFTC") against Archegos Capital Management LP and its CFO is but one of many civil and criminal matters arising out of Archegos's...more
9/28/2023
/ CFTC ,
Consumer Protection Act ,
Dodd-Frank ,
Enforcement Actions ,
ETFs ,
Exchange-Traded Products ,
Financial Markets ,
Fraud ,
Jurisdiction ,
Regulatory Authority ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Security-Based Swaps
In Short -
The Situation: The federal banking agencies approved a proposal that would implement a "gold-plated" U.S. version of the "Basel III endgame."...more
Federal financial regulators issued a rule excluding community banks from the Volcker Rule regulations. This rule conforms the regulations to similar statutory changes enacted in May 2018.
On July 9, 2019, the Board of...more
7/19/2019
/ Bank Holding Company ,
Banking Sector ,
Community Banks ,
Covered Banking Entity ,
Depository Institutions ,
Dodd-Frank ,
EGRRCPA ,
Final Rules ,
Financial Regulatory Reform ,
Investment Adviser ,
Private Equity Funds ,
Volcker Rule