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Searching Content indexed under Finance and Banking by Curtis Doty ordered by Published Date Descending.
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1
CFTC Permanently Sets The Swap Dealer De Minimis Threshold At $8 Billion And Determines Not To Adopt Other Proposed Changes
On November 5, 2018, the US Commodity Futures Trading Commission ("CFTC") finalized an amendment to the de minimis exception within the swap dealer ("SD") definition ("SD Threshold Amendment").
United States
22 Nov 2018
2
US Banking Agencies Propose Changes To Calculation Of Derivative Contract Exposures Under Regulatory Capital Rules
A perennial challenge in the prudential regulation of banks' derivatives activities has been the development of uniform, administrable, yet adequately risk-sensitive standardized methods for calculating derivatives exposures for use in prudential ratios.
United States
15 Nov 2018
3
NY Commercial Division: Role Of Market Practice And The "Cross-Check Principle" In Determining "Loss" Under The ISDA Master Agreement
NY Commercial Division: Role Of Market Practice And The "Cross-Check Principle" In Determining "Loss" Under The ISDA Master Agreement
United States
8 Oct 2018
4
A Septimana Mirabilis ("Wondrous Week") In Interest Rate Benchmark Reform?
Although it may not rival the annus mirabilis of 1905 in the history of science,1 the week of July 9, 2018 will certainly stand out for its high concentration of newsworthy pronouncements...
United States
25 Jul 2018
5
Foreign Exchange Prime Brokerage And The FX Global Code
This Legal Update highlights several principles of the Code that expressly address FX prime brokerage.
United States
13 Jun 2017
6
US FDIC And SEC Propose Rules To Govern The Orderly Liquidation Of Covered Broker-Dealers Under Title II Of The Dodd-Frank Act
On February 17, 2016, FDIC and the SEC jointly proposed a rule to supplement the statutory provisions of Title II of the Dodd-Frank Act that govern the orderly liquidation of a "covered broker or dealer".
United States
11 Mar 2016
7
US Securities And Exchange Commission Rule Proposal For Registered Funds' Use Of Derivatives
The Rule Proposal includes a new rule, Rule 18f-4, which is an exemptive rule that would allow funds to enter into certain derivatives and financial commitment transactions notwithstanding the asset coverage restrictions of Section 18.
United States
1 Feb 2016
8
US Commodity Futures Trading Commission Adopts Final Margin Rules, Leaves Cross-Border Application For Future Rulemaking
On December 16, 2015, the Commodity Futures Trading Commission ("CFTC") adopted a final rule to establish minimum margin requirements for registered swap dealers and major swap participants...
United States
22 Dec 2015
9
Prudential Regulators in the United States Adopt Margin Rules for Swaps and Security-Based Swaps
On October 22, 2015, the OCC, the Board of Governors of the US Federal Reserve System, the FDIC, the Farm Credit Administration and the Federal Housing Finance Agency
United States
27 Oct 2015
10
CFTC Staff Liberalizes Conditions of Clearing No-Action Relief for Eligible Treasury Affiliates
In No-Action letter 14-1441 ("Letter 14-144"), the Division of Clearing and Risk of the US Commodity Futures Trading Commission (the "Division") amended and restated No-Action letter 13-222 ("Letter 13-22") in order to remove or amend several of the restrictive conditions ..
United States
8 Dec 2014
11
US Securities And Exchange Commission Issues Final Rules Regarding The Application Of Security-Based Swap Intermediary Definitions To Cross-Border Security Based Swap Activity
The US Securities and Exchange Commission has adopted final rules regarding the cross-border application of certain security-based swap provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
16 Jul 2014
12
CFTC Issues No-Action Relief to Manager of a Collateralized Loan Obligation for Failure to Register as a Commodity Trading Advisor
By Letter No. 14-57 dated April 11, 2014 (Letter), the US Commodity Futures Trading Commission (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) staff granted no-action relief to a manager (Manager) ..
United States
29 Apr 2014
13
CFTC Seeks Comment On November 14 Advisory On Cross-Border "Transaction-Level Requirements"; Staff Extends Relief Until September 15
Keywords: CFTC, cross-border transaction level requirements, non-U.S. swap dealers, SDs On January 3, 2014, the U.S. Commodity Futures Trading Commission (CFTC) invited public comment on a Staff Advisory1 issued on November 14, 2013, and the CFTC staff simultaneously extended the expiry date of time-limited no-action relief from the effect of the Staff Advisory granted to non-U.S. swap dealers (SDs) transacting, aided by U.S. personnel, with non-U.S. persons (other than guaranteed affiliates or
United States
7 Jan 2014
14
CFTC Sued On Extraterritorial Application Of Dodd-Frank Swap Rules
On December 4, 2013, the International Swaps and Derivatives Association, the Securities Industry and Financial Markets Association and the Institute of International Bankers sued the CFTC for defects in the CFTC’s "Interpretive Guidance and Policy Statement Regarding Compliance with Certain "Regulations" (the "ET Guidance").
United States
5 Dec 2013
15
CFTC Issues Interpretive Guidance Regarding The Cross-Border Application Of US Swap Regulations
The US Commodity Futures Trading Commission recently approved the issuance of an interpretive guidance and policy statement regarding the crossborder application of the swaps provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
6 Aug 2013
16
The CFTC’s July 12, 2013 Cross-Border Exemptive Order
On July 12, 2013, the Commodity Futures Trading Commission issued a time-limited exemptive order under Commodity Exchange Act section 4(c).
United States
19 Jul 2013
17
CFTC Mandatory Clearing Rules – June 10 Phase-in Date For Financial Entities
The next milestone date in the Commodity Futures Trading Commission’s ("CFTC’s") phase-in of mandatory clearing occurs on June 10, 2013, when so-called "Category 2 entities" must begin clearing swaps subject to the mandate.
United States
17 May 2013
18
CFTC Provides Derivatives Prime Brokerage Limited No-Action Relief From External Business Conduct Rules
Today, compliance is required for the first time with previously deferred provisions of the swap dealer external business conduct rules of the Commodity Futures Trading Commission.
United States
2 May 2013
19
CFTC Issues A Final, Time-Limited Exemptive Order And Proposes Further Guidance Regarding Cross-Border Regulation Of Swaps
The US Commodity Futures Trading Commission issued a release containing a final exemptive order and proposing for public comment additional cross-border guidance regarding the cross-border regulation of swaps.
United States
2 Jan 2013
20
CFTC’s January 1 Business Conduct And Documentation Deadline Eased
The interim final rules respond to requests for rulemaking from the International Swaps and Derivatives Association, Inc.
United States
19 Dec 2012
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