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 Guidance on Cross-Border Application of United States Swap Regulations

Introduction - On July 12, 2013, the Commodity Futures Trading Commission (the “CFTC”) adopted interpretive guidance (the “Guidance”) that details the CFTC’s interpretation of the application of the Commodity Exchange...more

9/23/2013 - CEA CFTC Cross-Border Dodd-Frank Foreign Branches of U.S. Banks Major Swap Participants No-Action Relief Swap Dealers Swaps

CFTC Extends Compliance Date for Operators of Funds of Funds

Background - At the request of the Investment Adviser Association and the Managed Funds Association, the Division of Swap Dealer and Intermediary Oversight (“Division”) of the Commodity Futures Trading Commission...more

12/6/2012 - CFTC Commodity Pool Investment Adviser Swaps

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