Guy C. Dempsey, Jr.

Guy C. Dempsey, Jr.

Katten Muchin Rosenman LLP

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SEC to Hold Open Meeting on Cross-Border Security-Based Swap Definitions

On June 18, the Securities and Exchange Commission announced that it will hold an open meeting on June 25 to consider whether to adopt rules that would apply the definitions of “security-based swap dealer” and “major...more

6/24/2014 - Cross-Border Dodd-Frank Major Swap Participants SEC Swap Dealers Swaps

SEC Proposes Recordkeeping and Reporting Rules for Security-based Swaps

On April 17, the Securities and Exchange Commission proposed several new rules relating to security-based swaps. The rules deal with “recordkeeping, reporting, and notification requirements applicable to security-based swap...more

4/28/2014 - Major Swap Participants Recordkeeping Requirements Reporting Requirements SEC Swap Dealers Swaps

CFTC Makes Comparability Determinations for Substituted Compliance Purposes

The Commodity Futures Trading Commission has approved comparability determinations for substituted compliance with six different non-US regulatory regimes. Pursuant to the substituted compliance determinations, the CFTC will...more

1/7/2014 - CFTC Compliance Major Swap Participants Swaps

CFTC Issues No-Action Relief from Certain Swap Data Reporting Requirements

The Commodity Futures Trading Commission’s Division of Market Oversight has issued temporary no-action relief to non-US swap dealers (SDs) and non-US major swap participants (MSPs) established in Australia, Canada, the...more

1/7/2014 - CFTC Cross-Border Major Swap Participants No-Action Relief Swap Data Repositories Swap Dealers

CFTC Provides Relief for Intended-to-Be-Cleared Swaps

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight has issued No-Action Letter 13-70 providing relief to swap dealers (SDs) and major swap participants (MSPs) from (1) trading...more

11/25/2013 - CFTC Major Swap Participants No-Action Letters Swaps

CFTC Adopts Rules for Segregation of Initial Margin for Uncleared Swaps

On October 31, the Commodity Futures Trading Commission adopted final rules with respect to the segregation of initial margin for uncleared swaps. The rules impose new obligations on swap dealers (SDs) and major swap...more

11/12/2013 - CFTC Commodities Exchange Act Major Swap Participants Margin Requirements Notice Requirements Segregation Requirements Swap Dealers Swaps

CFTC Provides Clarification for SD and MSP Employees Acting in Clerical or Ministerial Capacities

The Commodity Exchange Act and Commodity Futures Trading Commission regulations make it unlawful for a swap dealer (SD) or major swap participant (MSP) to permit a person subject to a statutory disqualification to effect or...more

11/1/2013 - CFTC Churches Major Swap Participants Swap Dealers Swaps

CFTC Issues Interpretive Guidance Regarding Certain Cross-Border Transactions

On July 12, the Commodity Futures Trading Commission adopted interpretive guidance and a policy statement regarding the cross-border application of the swap provisions of the Dodd-Frank Wall Street Reform and Consumer...more

7/23/2013 - CFTC Cross-Border Cross-Border Transactions Dodd-Frank Major Swap Participants Statutory Interpretation Swap Dealers Swaps

CFTC Grants No Action Relief to EU Swap Dealers from Swap Documentation Rules

Demonstrating coordination between US swap rules and those of the European Union, the Commodity Futures Trading Commission issued a no action letter (no. 13-45) on July 11 that permits a company organized under the laws of...more

7/17/2013 - CFTC EMIR EU Major Swap Participants No-Action Relief Required Documentation Swap Dealers Swaps

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