Guy Dempsey

Guy Dempsey

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume XI, Issue 23

SEC/CORPORATE - SEC Adopts Amendment to Form 10-K Permitting the Summary of Business and Financial Information - On June 1, the Securities and Exchange Commission adopted an interim final rule (Rule), as mandated...more

6/13/2016 - Algorithmic Trading European Commission Fixing America’s Surface Transportation Act (FAST Act) Form 10-K Interest Rate Swaps MiFID II Registration Requirement Security-Based Swaps Swap Clearing

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

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

Corporate and Financial Weekly Digest - Volume X, Issue 2

In this issue: - New Law Aligns Clearing and Margin Exceptions for Swaps - CFTC Staff Extends No-Action Relief to Certain Reporting Counterparties Masking Identifying Information Pursuant to Non-US Law -...more

1/19/2015 - Appraisal CFTC Compliance EMIR Enforcement Actions European Commission European Securities and Markets Authority (ESMA) Fixed Income Investments LiquidAlts MiFID No-Action Relief SEC SEC Examination Priorities Securities Securities Fraud Shareholders Swap Clearing Swaps Terrorism Insurance TRIA

DOL Issues Guidance for ERISA Plans to Engage in Cleared Swaps

On February 7, 2013, the US Department of Labor (DOL) issued Advisory Opinion 2013-01A (the “Advisory Opinion”), which provides guidance under the Employee Retirement Income Security Act of 1974 (ERISA) for employee benefit...more

2/26/2013 - CCPs CEA CFTC Clearing Members Dodd-Frank DOL ERISA QPAM Swap Clearing Swaps

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