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HTMLCFTC Intermediaries to Adopt and Implement Cybersecurity Programs by March 1, 2016
Brian Barrett, James M. Cain, Daniel E. Frank, Daphne G. Frydman, Catherine M. Krupka; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
March 2, 2016, previously published on February 29, 2016
Commencing March 1, 2016, all commodity pool operators, commodity trading advisors, futures commission merchants, retail foreign exchange dealers, investment brokers, major swap participants and swap dealers that are National Futures Association (NFA) member firms (together the Covered Parties)...

 

Adobe PDFCFTC and EU Regulators Agree on a Common Approach for the Regulation of CCPs
Brian Barrett, James M. Cain, Daphne G. Frydman, Catherine M. Krupka, David T. McIndoe; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
February 15, 2016, previously published on February 12, 2016
Earlier this week, the Commodity Futures Trading Commission (CFTC) and European regulators announced that they have reached agreement on a “common approach” regarding requirements for central counterparties (CCPs) (i.e., clearinghouses). Per their joint statement, the European...

 

HTMLCFTC Amends Regulation 1.35
Brian Barrett, James M. Cain, Daphne G. Frydman, Catherine M. Krupka, David T. McIndoe; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
February 4, 2016, previously published on February 3, 2016
U.S. Commodity Futures Trading Commission (CFTC) Regulation 1.35 requires futures commission merchants (FCMs), retail foreign exchange dealers (RFEDs), introducing brokers (IBs) and members of a swap execution facility (SEF) or designated contract market (DCM) (each a Covered Person and...

 

HTMLSEC Proposes Rule Related to Use of Derivatives and Financial Commitment Transactions by Regulated Funds
Frederick R. Bellamy, Cynthia R. Beyea, Thomas E. Bisset, Steven B. Boehm, Daphne G. Frydman; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
January 20, 2016, previously published on January 20, 2016
In December 2015, the Securities and Exchange Commission (the SEC) proposed a new Rule 18f-4 under the Investment Company Act of 1940 (the 1940 Act) that would, if adopted, affect the ability of mutual funds, exchange-traded funds (ETFs), closed-end funds and business development companies (BDCs)...

 

HTMLPreliminary Report on the Swap Dealer De Minimis Exception
Brian Barrett, James M. Cain, Daphne G. Frydman, Catherine M. Krupka, David T. McIndoe; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
December 11, 2015, previously published on December 10, 2015
On November 18, the staff of the Commodity Futures Trading Commission (CFTC) issued a much anticipated report on the de minimis exception from the “swap dealer” definition, the Swap Dealer De Minimis Exception Preliminary Report (the Preliminary Report). Unfortunately, and as further...

 

HTMLComing Soon - Mandatory Clearing of Interest Rate Swaps Under EMIR
Brian Barrett, James M. Cain, Daphne G. Frydman, Catherine M. Krupka, David T. McIndoe; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
September 2, 2015, previously published on September 1, 2015
On August 6, 2015, the European Commission (EC) adopted new rules that will require the clearing of certain over-the-counter (OTC) interest rate swaps pursuant to the European Market Infrastructure Regulation (EMIR) (the EU IRS Clearing Rules). The EU IRS Clearing Rules are subject to approval by...

 

HTMLCFTC and NFA Afford Relief from Certain CTA Periodic Reporting Obligations
Brian Barrett, James M. Cain, Daphne G. Frydman, David T. McIndoe, Mark D. Sherrill; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
August 7, 2015, previously published on August 6, 2015
On July 21, the staff of the Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) published an exemptive letter that provides relief from periodic reporting on CFTC Form CTA-PR to commodity trading advisors (CTAs) that do not direct client...

 

HTMLISDA Publishes EMIR Classification Letter
Brian Barrett, Daphne G. Frydman, Catherine M. Krupka, David T. McIndoe, Mark D. Sherrill; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
July 21, 2015, previously published on July 20, 2015
On July 13, the International Swaps and Derivatives Association, Inc. (ISDA) published the ISDA EMIR Classification Letter (the Classification Letter), a form of letter that may be used by market participants managing their regulatory obligations under the European Market Infrastructure Regulation...

 

HTMLEuropean Regulators Publish Second Consultation Paper on Margin for OTC Derivatives
Brian Barrett, James M. Cain, Daphne G. Frydman, Catherine M. Krupka, David T. McIndoe; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
July 7, 2015, previously published on July 6, 2015
On June 10, the European Supervisory Authorities (ESA) published a second consultation paper on draft Regulatory Technical Standards (RTS) to implement the European Market Infrastructure Regulation (EMIR) requirement that persons classified under EMIR as “financial counterparties” (FCs)...

 

HTMLSEC’s Proposed SBS Rules on Cross-Border Security-Based Swap Activities
Brian Barrett, James M. Cain, Daphne G. Frydman, David T. McIndoe, Mark D. Sherrill; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
May 25, 2015, previously published on May 22, 2015
When the Securities and Exchange Commission (SEC) adopted final rules in June 2014 on the cross-border activities of security-based swap (SBS) dealers and major SBS participants, the SEC indicated that it would reserve the definition of the phrase “transaction conducted within the United...

 


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