The self-regulatory organization responds to the US derivatives market’s shift to remote working arrangements.
As the novel coronavirus outbreak (COVID-19) continues to spread across the globe, causing various disruptions,...more
Best execution is currently a hot topic for global regulators and the past year has seen notable regulatory focus in this area. Amid this development, firms are recommended to review their global best execution compliance...more
The action reflects the CFTC’s expanded jurisdiction and provides further clarity on what constitutes “actual delivery” in cryptocurrency trading.
On June 2, 2016, the US Commodity Futures Trading Commission (CFTC)...more
In the almost six years since the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), the US Commodity Futures Trading Commission (CFTC) has, in large part, finalized its rulemakings...more
3/2/2016
/ Aggregation Rules ,
CFTC ,
Derivatives ,
Dodd-Frank ,
Energy Sector ,
Margin Requirements ,
Position Limits ,
Recordkeeping Requirements ,
Reporting Requirements ,
Swaps ,
Trade Options ,
Uncleared Swaps
The CFTC provides the market additional time to submit Form TO while considering further amendments to trade option reporting rules.
On February 18, 2016, the US Commodity Futures Trading Commission's (the CFTC) Division...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
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
The CFTC has proposed rules that would define the reach of Dodd-Frank Act margin requirements in cross-border swap transactions.
On June 29, 2015, the US Commodity Futures Trading Commission (CFTC) proposed regulations...more
With recent release, the CFTC hopes to eliminate market uncertainty on forward contracts with embedded volumetric optionality.
UPDATE (June 18, 2015): On May 12, 2015, the CFTC adopted the Proposal as proposed (as used...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
Note: This version includes an additional section on the Terrorism Risk Insurance Program Reauthorization Act of 2015, which amends certain provisions of the Dodd-Frank Act to exempt certain counterparties from the initial...more
With recent release, the CFTC hopes to eliminate market uncertainty on forward contracts with embedded volumetric optionality.
The comment period recently closed for a proposed interpretation (the Proposal) to further...more
Dealers and major industry participants may be subject to new margin requirements beginning as early as December 1, 2015.
Regulators are expected to finalize rules regarding margin requirements for uncleared swaps...more
1/9/2015
/ Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Covered Entities ,
International Harmonization ,
Major Swap Participants ,
Margin Requirements ,
New Regulations ,
Prudential Regulation Authority (PRA) ,
Prudential Standards ,
Securities ,
Swap Dealers ,
Swaps
The conditional, time-limited no-action letter extends certain compliance deadlines under the new rules.
On November 18, 2013, the US Commodity Futures Trading Commission (CFTC) published final rules on Ownership and...more
Note: This version includes an additional section on cross-border considerations.
Significant amendments to the CFTC’s large trader reporting program will apply as of August 15, 2014.
The U.S. Commodity...more
Significant amendments to the CFTC’s large trader reporting program will apply as of August 15, 2014.
The U.S. Commodity Futures Trading Commission (CFTC) has seemingly increased the number of Form 40/40S requests it...more
Market participants are encouraged to submit further comments to the Commission.
The Commodity Futures Trading Commission (CFTC) on May 27, 2014 announced that it will hold a public roundtable at the CFTC on Thursday,...more
The US Commodity Futures Trading Commission (CFTC), on November 5, 2013, re- proposed a rulemaking (the Re-Proposed Rule) that would establish specific limits on speculative positions in 28 physical commodity futures and...more
Staff responds to industry concerns and confusion surrounding SEF operations and onboarding.
One of the key aspects of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act) is...more