P. Georgia Bullitt

P. Georgia Bullitt

Morgan Lewis

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Obligations Under European Market Infrastructure Regulation Imminent

With certain EMIR provisions set to go live in September, both EU counterparties and many non-EU counterparties must take action to comply with risk management requirements, which involve some overlap with Dodd-Frank....more

9/6/2013 - CFTC Compliance Dodd-Frank EMIR EU ISDA New Regulations NFC Representation Protocol Risk Management

Federal Reserve Adopts Retail Forex Rules

Standards for banking organizations regulated by the Federal Reserve for Retail Forex are generally comparable to rules adopted by other regulators. ...more

4/25/2013 - Banking Industry Regulations Disclosure Requirements Dispute Resolution Dodd-Frank Eligible Contract Participant Federal Reserve Final Rules Foreign Exchanges

CFTC Adopts Tape-Recording and Recordkeeping Rules

Final rules require tape recording by futures commission merchants, introducing brokers, retail foreign exchange dealers, and commodity trading advisors; affected CFTC registrants must implement systems to comply by December...more

1/4/2013 - Broker-Dealer CFTC Commodities Compliance Foreign Exchanges Recordkeeping Requirements Tape Recordings

SEC Permits Portfolio Margining of Credit Default Swaps

Order grants exemptive relief from Exchange Act requirements; parallel CFTC relief expected soon. On December 14, the Securities and Exchange Commission (SEC) issued an order granting exemptive relief (Exemptive Order)...more

12/31/2012 - Broker-Dealer CEA CFTC Derivatives Clearing Organizations Exemptive Orders SEC Swaps

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