Ellen Marks

Ellen Marks

Latham & Watkins LLP

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Latest Publications


Prudential Regulators Are First to Finalize Uncleared Swap Margin Rules

While the rules provide some clarity, the global market still awaits the finalization of the CFTC and the European margin rules. With the clock ticking on the countdown to finalization of uncleared swap margin rules...more

11/20/2015 - Dodd-Frank Margin Requirements Prudential Regulation Authority Uncleared Swaps

CFTC Proposes Cross-Border Application of Margin Requirements for Uncleared Swaps

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

8/13/2015 - CFTC Cross-Border Transactions Dodd-Frank Margin Requirements Proposed Regulation Prudential Regulation Authority Swaps

Regulation SBSR: The Compliance Guide to Reporting Security-based Swaps

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

3/25/2015 - Final Rules SEC Security-Based Swaps Swaps

UPDATE: Swap Dealers Will Face Significant Challenges from Reproposed Margin Rules for Uncleared Swaps

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

1/27/2015 - Basel Committee CFTC Commodities IOSCO Margin Calls Swap Dealers Swaps

Swap Dealers Will Face Significant Challenges from Reproposed Margin Rules for Uncleared Swaps

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 CFTC Covered Entities International Harmonization Major Swap Participants Margin Requirements New Regulations Prudential Regulation Authority Prudential Standards Securities Swap Dealers Swaps

Final US Risk Retention Regulations Will Affect CLOs: Preliminary Thoughts On The New Regime

Contrary to many industry comments the new rules will require managers of open-market CLOS to retain risk. On October 21, 2014, six US federal regulators (the Agencies) began voting to adopt final rules implementing...more

10/27/2014 - ABS Asset-Backed Securities Collateralized Loan Obligations Dodd-Frank Risk Retention Securitization

SEC Finalizes Partial Framework for the Cross-Border Application of its Derivatives Regulations

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

7/31/2014 - Compliance Cross-Border Derivatives Dodd-Frank SEC Title VII

CFTC Hosts End-User Roundtable

The Commission responds to issues facing end-users as a result of derivatives reforms. Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) amended the Commodity Exchange Act...more

4/25/2014 - CEA CFTC Derivatives Dodd-Frank Major Swap Participants No-Action Letters SEFs Swaps Title VII

Volcker Rule: An Initial Look at Significant Changes

On December 10, 2013 the US federal banking agencies, along with the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) (collectively, the Agencies), adopted the ...more

12/24/2013 - Banks CFTC Dodd-Frank SEC Volcker Rule

CFTC Re-Proposes Position Limits Rule and Proposes Revised Aggregation Requirements

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

12/18/2013 - Aggregation Rules CFTC Common Ownership Compliance Dodd-Frank Position Limits

CFTC Issues Guidance, Exemptions In Advance of SEF Rule Compliance Date

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

10/18/2013 - CFTC Compliance Deadlines Dodd-Frank Exemptions SEFs Title VII

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