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Morrison & Foerster LLP

CFTC Staff Issue Interpretive Guidance on Cross-Border Definitions

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The CFTC staff have issued interpretative guidance regarding the application of cross-border definitions under the CFTC’s regulatory regimes covering swaps, foreign futures and foreign options transactions, and foreign boards...more

Proskauer - Regulatory & Compliance

CFTC Clarifies that FX Window Forwards are Not “Swaps”

Proskauer - Regulatory & Compliance on

On April 9, 2025, the Markets Participants Division and the Division of Market Oversight (collectively, the “Divisions”) of the Commodity Futures Trading Commission (the “CFTC”) published a Staff Letter (the “Staff Letter”)...more

Stikeman Elliott LLP

CSA Publish Derivatives Data Reporting Transition Guidance

Stikeman Elliott LLP on

Amendments to swap data reporting rules are expected to be implemented by the Commodity Futures Trading Commission (CFTC) in December 2022. The Canadian Securities Administrators (CSA) have issued guidance to market...more

Herbert Smith Freehills Kramer

Funds Talk: August 2017 - CFTC Announces Review of Swap Data Reporting Regulations

Herbert Smith Freehills Kramer on

In the most recent example of federal regulatory streamlining, the Commodity Futures Trading Commission (CFTC) announced on July 10 that it will undertake a comprehensive review of the swap data reporting regulations....more

Cadwalader, Wickersham & Taft LLP

Not Your Grandmother’s Form 40

Cadwalader, Wickersham & Taft LLP on

A common tool that the Commodity Futures Trading Commission (“CFTC” or the “Commission”) relies upon to conduct market surveillance, including monitoring compliance with position limits, will soon enter the digital age – the...more

Cadwalader, Wickersham & Taft LLP

CFTC Issues Fourth Penalty for Inaccurate Large Trader Reporting of Swaps

Cadwalader, Wickersham & Taft LLP on

On September 27, 2016, the U.S. Commodity Futures Trading Commission (“CFTC” or the “Commission”) issued a fourth penalty for violations of its Swaps Large Trader Reporting (“Swaps LTR”) rule. This time, the penalty was...more

Orrick, Herrington & Sutcliffe LLP

Derivatives in Review - July 2016

Orrick, Herrington & Sutcliffe LLP on

An Overview of Proposed Regulation AT - Orrick attorneys authored an overview of Regulation Automated Trading (known as "Regulation AT") proposed by the Commodity Futures Trading Commission ("CFTC") in the May/June 2016...more

Orrick, Herrington & Sutcliffe LLP

SEC Amends Rules on Security-Based Swap Reporting

Orrick, Herrington & Sutcliffe LLP on

On July 13, 2016, the Securities Exchange Commission (“SEC”) approved certain amendments and guidance to the rules governing the reporting and public dissemination of security-based swaps (“SBS”), known as “Regulation SBSR,”...more

Cadwalader, Wickersham & Taft LLP

CFTC Issues $560,000 Penalty for Inaccurate Large Trader Reporting of Swaps

Cadwalader, Wickersham & Taft LLP on

On July 6, 2016, the Commodity Futures Trading Commission (“CFTC” or the “Commission”) fined Barclays Bank PLC (“Barclays”) $560,000 for inaccurate large trader reporting of swaps positions. This is the third and largest...more

Orrick, Herrington & Sutcliffe LLP

Derivatives in Review - April 2016

Orrick, Herrington & Sutcliffe LLP on

Novo Banco and CDS – A Post-Mortem - The 2014 ISDA Credit Derivatives Definitions updated the previous set of credit derivatives definitions to, among other things, include a credit event for “Governmental Intervention.”...more

Orrick - Finance 20/20

CFTC Issues Proposed Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps

Orrick - Finance 20/20 on

On August 19, The U.S. Commodity Futures Trading Commission (CFTC) proposed amendments to existing rules relating to swap data reporting in connection with cleared swaps. The amendments are aimed at providing additional...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 49

Katten Muchin Rosenman LLP on

In this issue: - Delaware Chancery Court Declines to Dismiss Fraud Claims Against Private Equity Fund and Directors - Agencies Amend Regulatory Capital and Liquidity Coverage Ratio Rules - FINRA Proposes...more

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