Kevin M. Foley

Kevin M. Foley

Katten Muchin Rosenman LLP

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CFTC and Australian Regulator Sign Memorandum of Understanding Regarding Cross-Border SDs and MSPs

The Commodity Futures Trading Commission and the Australian Prudential Regulation Authority (APRA) have entered into a memorandum of understanding regarding the supervision of CFTC-registered swap dealers and major swap...more

4/21/2015 - Australia CFTC Depository Institutions Major Swap Participants Memorandum of Understanding Prudential Regulation Authority Swap Dealers

CME Updates Order Routing/Front-End Audit Trail Requirements

The CME Group Exchanges have updated their recordkeeping requirements for order routing/front-end systems connected to the CME Globex platform through CME iLink. These updates include: (1) clarifying the scope of requirements...more

4/8/2015 - CFTC CME Order Routing Recordkeeping Requirements

CFTC Extends CCO Report Filing Deadline

The Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission has issued permanent no-action relief from the filing deadline for chief compliance officer (CCO) annual reports....more

4/7/2015 - CFTC Chief Compliance Officers DSIO FCMs Filing Deadlines Major Swap Participants No-Action Relief Swap Dealers

CFTC Extends Portfolio Margining on ICE Clear Europe

The Commodity Futures Trading Commission has issued an amended order authorizing futures commission merchants (FCMs) that are not clearing members of ICE Clear Europe Limited, but carry futures and options on futures...more

4/7/2015 - Amended Order CFTC Clearing Members FCMs

CFTC Issues Advisory on Ownership and Control Reporting

The Division of Market Oversight (DMO) and Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission have issued an advisory on ownership and control reporting (OCR) for futures...more

4/1/2015 - Advisory Opinions CFTC DSIO FCMs Market Participants No-Action Relief Reporting Requirements Swap Dealers

CFTC Approves Final Rule on Residual Interest Deadline for FCMs

On March 17, the Commodity Futures Trading Commission approved a final rule amending CFTC Regulation 1.22 to remove the December 31, 2018 automatic termination date relating to the phased-in compliance period for the Residual...more

3/25/2015 - CFTC Deadlines FCMs Final Rules Residual Interest

CFTC Issues an Exemption to HKSFC Permitting US Customers to Deal Directly with Hong Kong Brokers

On March 19, the Commodity Futures Trading Commission issued an exemption to Hong Kong Securities and Futures Commission (HKSFC) permitting US customers to deal directly with Hong Kong brokers pursuant to CFTC Regulation...more

3/25/2015 - Brokers CFTC Hong Kong Hong Kong Securities and Futures Commission (HKSFC)

FinCEN Updates List of Jurisdictions with AML/CFT Deficiencies

On March 16, the Financial Crimes Enforcement Network (FinCEN) issued an advisory announcing that the Financial Action Task Force (FATF) has updated its list of jurisdictions that have strategic deficiencies in their...more

3/25/2015 - AML/CFT FATF FinCEN

CFTC to Host Roundtable on Cybersecurity and System Safeguards Testing

On March 18, Commodity Futures Trading Commission staff will hold a public roundtable on cybersecurity and system safeguards testing. The roundtable will focus on improving system safeguards testing requirements, including...more

3/10/2015 - Business Roundtable CFTC Cybersecurity

CFTC Reopens Comment Period for Position Limits Proposals

The Commodity Futures Trading Commission has re-opened the comment period on (1) its proposed rules establishing position limits on certain exempt and agricultural commodities and (2) its proposed amendments to its...more

3/5/2015 - Agriculture CFTC Comment Period Commodities Proposed Regulation

CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of DCOs

Commodity Futures Trading Commission staff will host a public roundtable discussion on March 5 on issues related to the recovery and orderly wind-down of derivatives clearing organizations. The roundtable is intended to...more

3/5/2015 - CFTC Derivatives Derivatives Clearing Organizations Public Meetings Wind-Up Process

NFA Notifies SDs and MSPs of Annual Questionnaire Requirements

Beginning April 1, National Futures Association (NFA) will require its member swap dealers (SDs) and major swap participants (MSPs) to complete the SD-MSP Annual Questionnaire as part of its annual membership renewal process....more

2/25/2015 - Futures Major Swap Participants National Futures Association Swap Dealers

CFTC’s Energy and Environmental Markets Advisory Committee To Hold Meeting

The Commodity Futures Trading Commission’s Energy and Environmental Markets Advisory Committee will hold a meeting on February 26. The meeting, which will focus on the expected impact of the CFTC’s proposed position limit...more

2/24/2015 - CFTC Oil & Gas

CFTC Announces Members of Market Risk Advisory Committee

The Commodity Futures Trading Commission has announced the members of its Market Risk Advisory Committee (MRAC). The MRAC’s membership list is available...more

2/24/2015 - CFTC Derivatives

NFA Increases Minimum Security Deposits for Forex Transactions

The Executive Committee of the National Futures Association (NFA) has temporarily increased the minimum security deposits required to be collected and maintained by forex dealer members (FDMs) for foreign exchange...more

2/5/2015 - Foreign Exchanges Forex National Futures Association Security Deposits

NFA Announces New Filing Process for Swap Dealer and Major Swap Participant CCO Reports

On January 23, the National Futures Association (NFA) issued a notice informing its members that the annual reports required by NFA rules to be submitted by the chief compliance officer (CCO) of a swap dealer (SD) or major...more

2/5/2015 - Annual Reports CFTC Chief Compliance Officers Filing Requirements Major Swap Participants National Futures Association Portal Swap Dealers

CFTC Staff Issues No-Action Relief From Certain Financial Reporting Requirements Applicable to Introducing Brokers

On January 23, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued a no-action letter regarding financial reporting requirements as they apply to foreign introducing...more

2/3/2015 - CFTC DSIO Foreign Entities Introducing Brokers No-Action Letters Reporting Requirements

CME Group Exchanges Revise Position Limit Rules

The Chicago Mercantile Exchange, Chicago Board of Trade, New York Mercantile Exchange and Commodity Exchange have revised their position limit rules by removing provisions that formerly deemed a market participant to have...more

2/3/2015 - CME CME NYMEX Market Participants Position Limits

Corporate and Financial Weekly Digest - Volume X, Issue 4

In this issue: - SEC Division of Corporation Finance Issues New C&DI Related to Resales Under Regulation S - SEC Announces Proxy Voting Roundtable - CFTC Staff Issues No-Action Relief From Certain...more

2/2/2015 - AIFM Anti-Money Laundering Brokers C&DIs CFTC Clawbacks CME NYMEX EU Directive Forex Insider Trading Major Swap Participants Netherlands No-Action Relief Proxy Voting Guidelines Regulation S Reporting Requirements SEC Swap Dealers UK

NFA Increases Minimum Security Deposits for Forex Transactions

National Futures Association (NFA)’s Executive Committee has temporarily increased the minimum security deposits required to be collected and maintained by Forex Dealer Members (FDMs) for foreign exchange transactions...more

1/27/2015 - Foreign Exchanges Forex NFA Security Deposits

CFTC Grants Order of Registration to Tokyo Commodity Exchange

The Commodity Futures Trading Commission has issued an order granting the Tokyo Commodity Exchange––an exchange subject to the regulatory supervision of the Japanese Ministry of Economy, Trade and Industry and the Ministry of...more

1/27/2015 - CFTC Market Participants Registration Tokyo Commodity Exchange

China Regulator Proposes to Permit Designated Domestic Futures Contracts to be Traded by Foreigners

The China Securities Regulatory Commission (CSRC) is soliciting public comment on proposed rules (Interim Measures) that would open Chinese futures markets to direct trading by non-Chinese persons apparently for both...more

1/26/2015 - CSRC Foreign Nationals Futures People's Bank of China Proposed Regulation

CFTC Staff Extends No-Action Relief to Certain Reporting Counterparties Masking Identifying Information Pursuant to Non-US Law

On January 8, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) granted an extension of previously issued no-action relief for parties required to report identifying...more

1/20/2015 - CFTC Counterparties DSIO No-Action Relief Swap Dealers

CFTC Staff Issues No-Action Relief Extending the Deadline for Certain CCO Annual Reports

On December 22, 2014, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued a no-action letter that extends the deadline for submitting the annual report that must be...more

1/15/2015 - Annual Reports CFPB Chief Compliance Officers Corporate Officers DSIO FCMs Major Swap Participants No-Action Relief Swap Dealers Time Extensions

CFTC Allows Swap Dealer’s CCO to Report to the Governing Body

On November 25, 2014, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued a no-action letter permitting the chief compliance officer (CCO) of a provisionally registered...more

1/15/2015 - C-Suite Executives CFTC Chief Compliance Officers Corporate Officers Directors DSIO No-Action Relief Reporting Requirements Swap Dealers

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