Guy Dempsey

Guy Dempsey

Katten Muchin Rosenman LLP

Contact  |  View Bio  |  RSS

Latest Posts › Margin Requirements

Share:

Corporate and Financial Weekly Digest - Volume XI, Issue 21

SEC/CORPORATE - SEC Releases Target Dates for Proposed and Final Rulemaking - The Securities and Exchange Commission recently published its agenda with respect to upcoming rulemaking, including rulemaking...more

5/31/2016 - Cross-Border Transactions Deposit Accounts EU European Union Delegated Act (EUDA) FDIC Margin Requirements MiFID II Recordkeeping Requirements Rulemaking Process SEC UK

Congress Provides Swap Clearing and Margin Exemption for Central Treasury Units

Section 705 of the Consolidated Appropriations Act, 2016, that was signed by President Obama on December 18, 2015, amends Section 2(h)(7)(D) of the Commodity Exchange Act and the equivalent provision in the Securities...more

1/13/2016 - Commodities Exchange Act Consolidated Appropriations Act Margin Requirements Non-Financial Firms Swap Clearing

Questions and Answers Concerning the Final Prudential Regulator Margin Rules for Non-Cleared Swaps

BACKGROUND - The five US prudential regulators for swaps (the Federal Deposit Insurance Corporation, the Board of Governors of the Federal Reserve, the Comptroller of the Currency, the Farm Credit Administration and the...more

12/9/2015 - Covered Swap Entities (CSE) Financial Markets Margin Requirements Non-Cleared Swaps Swap Dealers

Highlights of the Final Prudential Regulator Margin Rules for Non-Cleared Swaps

The US prudential regulators (the Federal Deposit Insurance Corporation, the Board of Governors of the Federal Reserve, the Comptroller of the Currency, the Farm Credit Administration and the Federal Housing Finance Agency)...more

11/11/2015 - Final Rules Major Swap Participants Margin Requirements Non-Cleared Swaps Prudential Regulation Authority

Financial Regulators Adopt Final Margin Rules for Non-Cleared Swaps

On October 22, the US prudential regulators (the Federal Deposit Insurance Corporation, Board of Governors of the Federal Reserve, Comptroller of the Currency, Farm Credit Administration and Federal Housing Finance Agency)...more

10/28/2015 - Basel Committee Final Rules Major Swap Participants Margin Requirements Prudential Regulation Authority Swap Dealers Swaps Uncleared Swaps

Corporate and Financial Weekly Digest - Volume X, Issue 41

SEC/CORPORATE - SEC To Hold Forum on Small Business Capital Formation in November - On October 21, the Securities and Exchange Commission announced that it will hold its annual Government - Business Forum on Small...more

10/26/2015 - AML-CTF Banks Capital Formation Deposit Insurance EU European Banking Authority European Securities and Markets Authority (ESMA) FDIC JOBS Act Margin Requirements Regulation Technical Standards (RTS) SEC Small Business Startups Uncleared Swaps

CFTC Proposes Rule on Margin Requirements for Uncleared Swaps in Cross-Border Transactions

On June 29, the Commodity Futures Trading Commission proposed a rule that is intended to clarify the extent to which covered swap entities must comply with CFTC’s margin rules for uncleared swaps in cross-border transactions....more

7/15/2015 - CFTC Counterparties Cross-Border Transactions Dodd-Frank Major Swap Participants Margin Requirements Proposed Regulation Swap Dealers

Corporate & Financial Weekly Digest - Volume X, Issue 26

In this issue: - SEC Seeks Comment on Possible Enhancement of Audit Committee Disclosures - SEC Proposes Rule Requiring Executive Compensation Clawbacks - FINRA Requests Comment on Revised Discretionary...more

7/13/2015 - Audit Committee CFTC Clawbacks Cross-Border Enforcement Actions European Securities and Markets Authority (ESMA) FINRA Futures Greece Hong Kong Margin Requirements MiFID II SEC Swaps

Global Regulators Push Back Margin Requirements for Non-cleared Derivatives

On March 18, the Basel Committee on Banking Supervision and the International Organization of Securities Commissions (IOSCO) published a “final” policy framework that establishes minimum global standards for margin...more

3/26/2015 - Basel Committee Derivatives IOSCO Margin Requirements Regulatory Standards

New Law Aligns Clearing and Margin Exceptions for Swaps

On January 13, President Obama signed legislation that aligns the rules relating to swap clearing and mandatory margin for uncleared swaps so that any entity that qualifies for an exemption from clearing its swaps also is...more

1/20/2015 - Commodities Exchange Act Margin Requirements New Legislation Securities Exchange Act Security-Based Swaps Swap Clearing Swaps TRIA

CFTC Interprets Obligations to Send Initial Margin Segregation Notices and Reports

On October 31, the Commodity Futures Trading Commission issued a staff interpretation concerning its rules that oblige swaps dealers and major swap participants to send notices to their swap counterparties informing them of...more

11/11/2014 - CFTC Margin Requirements Segregation Requirements

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

Global Regulators Adopt Final Margin Requirements for Uncleared Derivatives

On September 2, the Basel Committee on Banking Supervision of the Bank for International Settlements (BIS) and the Board of the International Organization of Securities Commissions (IOSCO) jointly published a document...more

9/17/2013 - Banks Basel Committee BIS Derivatives Financial Regulatory Reform Foreign Banks IOSCO Margin Requirements

International Regulators Publish "Near-Final" Draft of Uncleared Swap Margin Rules

On February 15, the Bank for International Settlements (BIS) and the International Organization of Securities Commissions (IOSCO) published the Second Consultative Document on margin requirements for non-centrally cleared...more

2/26/2013 - BIS Covered Entities Dodd-Frank EU IOSCO Margin Requirements Swaps

14 Results
|
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.

Already signed up? Log in here

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×