Lawrence B. Patent

Lawrence B. Patent

K&L Gates LLP

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SEC Finalizes Cross-Border Rule for Security-Based Swaps

On June 25, 2014, the United States Securities and Exchange Commission (“SEC”) adopted the first in a series of final rules and interpretive guidance related to U.S. regulation of cross-border security-based swap activities....more

7/2/2014 - CFTC Cross-Border Dodd-Frank Final Rules Major Swap Participants SEC Swaps

CFTC Provides Streamlined No-Action Relief Filing Procedure to Certain Commodity Pool Operators Who Delegate Responsibilities to...

The Division of Swap Dealer and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (“CFTC” or the “Commission”) recently issued CFTC Letter No. 14-69 (May 12, 2014) (the “Letter”), which...more

6/9/2014 - CFTC Commodities Commodity Pool CPO No-Action Relief SEC Swap Dealers Swaps

CFTC Adopts Harmonization Rules for Investment Advisers that are Commodity Pool Operators of Registered Funds

On August 13, 2013, the Commodity Futures Trading Commission (“CFTC”) adopted long-awaited harmonization rules (“Harmonization Rules”) for operators of registered investment companies (“Registered Funds”) that are subject to...more

8/28/2013 - CFTC CPO Disclosure Requirements Harmonization Rules Investment Adviser NFA Recordkeeping Requirements Registered Funds SEC

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