Julian Hammar

Julian Hammar

Morrison & Foerster LLP

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CFTC Approves Final Rule Amendments to CPO Financial Report Regulations

On November 21, 2016, the U.S. Commodity Futures Trading Commission (CFTC) approved final rule amendments to its regulations that allow commodity pool operators (CPOs) to use certain additional alternative generally accepted...more

12/6/2016 - Audits CFTC Commodity Pool CPOs Final Rules Reporting Requirements

CFTC Issues Cross-Border Proposal

On October 11, 2016, the U.S. Commodity Futures Trading Commission (“CFTC”) issued proposed rules to address certain issues related to the cross-border application of Title VII of the Dodd-Frank Wall Street Reform and...more

11/10/2016 - Business Conduct Standards CFTC Consumer Protection Act Cross-Border Dodd-Frank Swap Dealers Swaps Threshold Requirements Title VII

Financial Services Report, Fall 2016

Editor’s Note - So much for summer! The weather is cooling, the kids are back to school, and we better not see you wearing white so long after Labor Day! For those of you having a little trouble getting back in the...more

9/21/2016 - Anti-Money Laundering Arbitration CFPB Civil Monetary Penalty Debt Collection Digital Currency EU EU-US Privacy Shield Fair Lending FDIC FinCEN Foreclosure FTC Homeowner Bill of Rights Mortgage Lenders Municipalities OCC Online Banking SEC Standing Tax Revenues TCPA Telemarketing Volcker Rule

Setting the Scene - Final SEC guidance on cross-border SBSs is likely to ease concerns surrounding reporting duties and compliance...

On July 13 2016, the US Securities and Exchange Commission (SEC) adopted amendments and guidance (Final Rules and Guidance) related to its rules on the regulatory reporting and public dissemination of security-based swaps...more

9/2/2016 - CFTC Compliance Compliance Dates Cross-Border Final Rules Reporting Requirements SBSR SEC Security-Based Swaps

CFTC Proposal to Amend CPO Reporting Rules

The Commodity Futures Trading Commission (“CFTC”) on August 5, 2016, issued a proposal to amend its rules governing commodity pool annual reports, which, if adopted, would permit commodity pool operators (“CPOs”) of a pool...more

8/19/2016 - Annual Reports Audits CFTC Commodity Pool CPOs GAAP IFRS NFA Proposed Amendments

CFTC Proposed Registration Relief for Non-U.S. Futures Commission Merchants, Commodity Pool Operators, Commodity Trading Advisors...

On July 27, 2016, the U.S. Commodity Futures Trading Commission (“CFTC”) proposed amendments to its rules (“Proposed Rules”) that loosen the conditions for exemption from registration as a futures commission merchant (“FCM”),...more

8/8/2016 - Asset Management CFTC Commodity Interest CPO CTA Designated Contract Market Financial Institutions Future Commission Merchants Introducing Brokers No-Action Letters Proposed Rules Registration Requirement Swap Execution Facilities

The Federal Reserve’s Proposed Rules for Financial Contracts of Global Systemically Important Banking Organizations and ISDA’s...

Last month the Board of Governors of the Federal Reserve System (the “Board”) issued proposed new rules (the “Proposed Rules”) intended to reduce the potential risks posed to the U.S. financial system by too-big-to-fail...more

6/30/2016 - Banks Basel Committee Cross-Border Transactions Dodd-Frank Federal Reserve Financial Stability Acts FSB Global Economy ISDA Liquidation Proposed Rules

CFTC Issues Final Rules Regarding the Cross-Border Application of its Uncleared Swaps Margin Requirements - June 2016

On May 24, 2016, the Commodity Futures Trading Commission (“CFTC”) in a much anticipated action approved the issuance of final rules (“Final Rules”) regarding the cross-border application of its uncleared swaps margin...more

6/8/2016 - BCBS CFTC Commodities Covered Swap Entities (CSE) Cross-Border Cross-Border Transactions Federal Register Final Rules Financial Statements Foreign Subsidiaries Guaranty Claims IOSCO Margin Requirements Prudential Regulation Authority Swap Dealers Swaps U.S. Person

CFTC Finalizes Relief from Trade Option Reporting and Recordkeeping Requirements for Commercial End Users

On March 16, 2016, the U.S. Commodity Futures Trading Commission (“CFTC”) approved a final rule that eliminates the reporting and recordkeeping requirements in current CFTC regulations for trade option counterparties that are...more

3/23/2016 - CEA CFTC Dodd-Frank End-Users Major Swap Participants Recordkeeping Requirements Swaps

SEC Adopts Rule Amendments Addressing Dealing Transactions Between Non-U.S. Persons that are “Arranged, Negotiated, or Executed”...

On February 10, 2016, the U.S. Securities and Exchange Commission (“SEC”) approved final rule amendments to its cross border rules that address how the security-based swap dealer definition applies to security-based swap...more

2/17/2016 - CFTC Cross-Border Transactions Exceptions Final Rules Registration Requirement SEC Security-Based Swaps

CFTC Staff Issues No-Action Relief from Mandatory Swaps Clearing for Small Bank Holding Companies, Small Savings and Loan Holding...

On January 8, 2016, the Division of Clearing and Risk (“Division”) of the Commodity Futures Trading Commission (“CFTC”) issued no-action letters providing relief from the mandatory clearing requirement for swaps under Section...more

1/23/2016 - Bank Holding Company CDFI Fund CEA CFTC Commodities Community Banks Mandatory Clearing Requirements No-Action Relief Small Business Swaps

CFTC Proposes Regulation of Automated Trading

On November 24, 2015, the Commodity Futures Trading Commission (“CFTC”) approved the issuance of proposed rules to implement a framework of registration, reporting, recordkeeping and other compliance requirements for market...more

1/14/2016 - Algorithmic Trading CEA CFTC DCMs FCMs Proposed Regulation Registration Requirement

CFTC Adopts Uncleared Swaps Margin Rules

On December 16, 2015, the Commodity Futures Trading Commission (“CFTC” or “Commission”) adopted final rules to impose margin requirements on uncleared swaps entered into by swap dealers and major swap participants subject to...more

12/28/2015 - CFTC Final Rules Margin Requirements Prudential Regulation Authority Uncleared Swaps

CFTC Requires Introducing Brokers, Commodity Pool Operators, and Most Commodity Trading Advisors That Use Swaps to Become Members...

On September 14, 2015, the Commodity Futures Trading Commission (CFTC) published a final rule requiring introducing brokers (IBs), commodity pool operators (CPOs), and most commodity trading advisors (CTAs) to become members...more

10/5/2015 - CEA CFTC CPOs CTA De Minimus Quantity Exemption Dodd-Frank Final Rules Introducing Brokers National Futures Association Registered Futures Association Membership Swaps

CFTC Proposes Supplement to Aggregation Proposed Rules for Position Limits

On September 22, 2015, the Commodity Futures Trading Commission (“CFTC”) issued for public comment a supplement (the “Supplemental Aggregation Proposal”) to its proposed aggregation rules for position limits for related...more

9/28/2015 - Aggregation Rules CFTC Comment Period Derivatives Federal Register Financial Statements Proposed Regulation Subsidiaries Trading Plans

CFTC Issues Proposed Rules Regarding the Cross-Border Application of its Uncleared Swaps Margin Requirements

On June 29, 2015, the Commodity Futures Trading Commission (“CFTC”) issued proposed rules (“Proposed Rules”) regarding the cross-border application of its proposed uncleared swaps margin rules issued last October. The...more

7/14/2015 - Advanced Notice of Proposed Rulemaking (ANPRM) CFTC Commodities Compliance Cross-Border Transactions Federal Register Financial Statements Foreign Subsidiaries Futures Margin Requirements Proposed Regulation Prudential Regulation Authority Public Comment Swap Dealers Swaps U.S. Person

CFTC and SEC Issue Final Interpretation Regarding Forward Contracts with Embedded Volumetric Optionality - May 2015

On May 12, 2015, the Commodity Futures Trading Commission (“CFTC”) and Securities and Exchange Commission (“SEC”) jointly issued the CFTC’s final interpretation clarifying its interpretation concerning forward contracts with...more

5/21/2015 - CFTC Forward Contracts SEC Security-Based Swaps Swaps

CFTC Proposes Relief from Trade Option Reporting and Recordkeeping Requirements for Commercial End Users

On April 30, 2015, the Commodity Futures Trading Commission (“CFTC”) approved for publication in the Federal Register proposed amendments to the trade option exemption (the “Proposal”) that would reduce reporting and...more

5/8/2015 - CFTC Commercial End-User Exception Commodities Dodd-Frank Recordkeeping Requirements Reporting Requirements Swaps Trade Options

Margin for Uncleared Swaps: A Critical Look at the CFTC and Prudential Regulators Proposals

Last fall both the Commodity Futures Trading Commission (“CFTC”) and five U.S. prudential banking regulators (the “Prudential Regulators”) released proposed rules for margin requirements for uncleared swap transactions for...more

2/23/2015 - CFTC IOSCO Swap Dealers Swap Market Swaps

CFTC Staff Issues CCO Annual Report Advisory and Related No-Action Relief

On December 22, 2014, the Division of Swap Dealer and Intermediary Oversight (“DSIO”) of the Commodity Futures Trading Commission (“CFTC”) issued an Advisory providing guidance regarding the contents of chief compliance...more

1/14/2015 - Annual Reports Best Practices C-Suite Executives Certifications CFTC Chief Compliance Officers DSIO FCMs Major Swap Participants No-Action Relief

Federal Reserve Board and OCC Issue Interim Final Rule Amending U.S. Bank Capital and Other Rules to Account for Global...

On December 16, 2014, the Office of the Comptroller of the Currency (“OCC”) and the Board of Governors of the Federal Reserve System (“Board”) (collectively, “Agencies”) issued an interim final rule (“IFR”) amending the...more

1/14/2015 - Banking Sector Banks Capital Requirements Federal Reserve ISDA Liquidity Coverage Ratio OCC

Federal Reserve Board Extends the Volcker Rule Conformance Period for Legacy Funds

On December 18, 2014, the Board of Governors of the Federal Reserve System (“Board”) issued an order extending for an additional year – i.e., until July 21, 2016 – the Volcker Rule conformance period for banking entities to...more

12/30/2014 - Banks Dodd-Frank Federal Reserve Hedge Funds Private Equity Funds Volcker Rule

New Law Limits the Swaps Pushout Requirement to Apply Only to Certain ABS Swaps

On December 16, 2014, President Barack Obama limited the scope of swaps and security-based swaps subject to the Dodd-Frank Wall Street Reform and Consumer Protection Act’s (“Dodd-Frank Act’s”) pushout requirement to certain...more

12/23/2014 - Asset-Backed Securities Banking Sector Banks Barack Obama Dodd-Frank FDIC Federal Reserve Foreign Banks Push-Out Requirements Section 716 Swaps

CFTC Staff Grants Family Offices No-Action Relief from Registration as Commodity Trading Advisors

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued no-action relief for failure to register with the CFTC as a commodity trading advisor (CTA) to any...more

12/18/2014 - CFTC CPOs DSIO Family Offices No-Action Relief

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