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
Cryptocurrency is on the rise...and so are enforcement actions.
In less than a decade, cyptocurrencies have grown from a novelty reserved for those dealing in the illicit into a robust platform embraced by financial...more
12/9/2015
/ Anti-Money Laundering ,
Bitcoin ,
BitLicense ,
CFTC ,
Cryptocurrency ,
Dodd-Frank ,
Enforcement Actions ,
Federal Trade Commission (FTC) ,
FinCEN ,
Popular ,
Securities and Exchange Commission (SEC) ,
Young Lawyers
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
The SEC Final Rule is the SEC’s first major step toward implementing its final regulatory regime under Title VII of the Dodd-Frank Act.
On June 25, 2014, the Securities and Exchange Commission (SEC) approved a final...more
The SEC has proposed recordkeeping and reporting rules and capital charges for security-based swap dealers based on the current broker-dealer reporting and recordkeeping regime.
Market participants in the derivatives...more