Kevin M. Foley

Kevin M. Foley

Katten Muchin Rosenman LLP

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CFTC Announces Agenda For Upcoming Market Risk Advisory Committee Meeting

The Commodity Futures Trading Commission’s Market Risk Advisory Committee (MRAC) announced its agenda for its upcoming meeting on June 2. MRAC will discuss: (1) the Bank of England’s CBEST Program and its impact on addressing...more

5/28/2015 - Bank of England CFTC Cybersecurity Derivatives Futures Securities

CFTC Proposes to Exempt Certain Southwest Power Pool Transactions

On May 18, the Commodity Futures Trading Commission issued a proposed order in response to an application submitted by Southwest Power Pool, Inc. (SPP) to exempt certain contracts, agreements and transactions for the purchase...more

5/28/2015 - CEA CFTC Commodities Energy Sector Exemptions FERC Market Manipulation Tariffs

CFTC Requests Public Comment on Nodal Clear’s DCO Application

The Commodity Futures Trading Commission has requested public comment on an application by Nodal Clear, LLC for registration as a derivatives clearing organization. Comments on the application may be submitted by June 8...more

5/19/2015 - CFTC Derivatives Clearing Organizations Public Comment

CFTC Revises Interpretation on Forward Contracts with Embedded Volumetric Optionality

In 2012, the Commodity Futures Trading Commission issued an interpretation that identifies the circumstances in which an agreement, contract or transaction would fall within the forward contract exclusions from the “swap” and...more

5/19/2015 - CFTC Commodities Exchange Act Forward Contracts Major Swap Participants Swap Dealers Swaps

CFTC Determines That Wholly Owned Securitization SPVs of Captive Finance Companies May Elect End-User Exception

In an interpretive letter published on May 4, the Commodity Futures Trading Commission’s Division of Clearing and Risk (Division) confirmed that a securitization special purpose vehicle (SPV) that is wholly owned by, and...more

5/14/2015 - Captive Insurance Company CEA CFTC Exceptions SPVs

CFTC’s Market Risk Advisory Committee to Meet on June 2

The Commodity Futures Trading Commission’s Market Risk Advisory Committee (MRAC) will hold a public meeting at the CFTC’s headquarters in Washington, DC on June 2. MRAC will consider issues including the appropriate industry...more

5/14/2015 - Advisory Committee CFTC Cybersecurity FCMs Liquidity

CFTC Proposal Eases Trade Option Obligations for Non-SD/MSP Counterparties

The Commodity Futures Trading Commission has proposed to amend part 32 of its regulations governing trade options to reduce the reporting requirements for counterparties that are not swap dealers or major swap participants...more

5/5/2015 - CFTC Counterparties Major Swap Participants Proposed Amendments Reporting Requirements Swap Dealers

CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors

On April 22, the Commodity Futures Trading Commission’s Division of Market Oversight and Division of Clearing and Risk (Divisions) issued CFTC Letter No. 15-24 to provide no-action relief to enable swap execution facilities...more

4/28/2015 - CFTC DCMs No-Action Relief SEFs

CFTC Provides Guidance on Calculating Projected Operating Costs by SEFs

On April 23, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) provided guidance to swap execution facilities (SEFs) regarding the calculation of projected operating costs and expenses for purposes...more

4/28/2015 - CFTC New Guidance SEFs

CFTC Issues No-Action Relief for SEF Confirmation and Recordkeeping Requirements and Confirmation Data Reporting Requirements

On August 14, 2014, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) granted no-action relief to swap execution facilities (SEFs) from the confirmation and recordkeeping requirements set forth in...more

4/28/2015 - CFTC No-Action Relief Recordkeeping Requirements Reporting Requirements SEFs

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)

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 - 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

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 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

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

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