In this issue:

- Derivatives

- Compensation

- Regulatory Capital

- Financial Market Infrastructure

- Funds Enforcement

- Events Hearings

- People

- Excerpt from Derivatives:

CFTC Provides Time-Limited No-Action Relief to Certain Affiliated Counterparties -

On 6 March 2014, the Commodity Futures Trading Commission (“CFTC”) Divisions of Clearing and Risk (“DCR”) and Market Oversight (“DMO”) provided time-limited no-action relief to certain affiliated counterparties. The DCR issued a no-action letter extending the time-limitation contained in the alternative compliance frameworks available to certain affiliated counterparties pursuant to CFTC regulation 50.52(b)(4)(ii)-(iii). The DMO issued a no-action letter providing time-limited no-action relief from the requirements of the trade execution requirement in Commodity Exchange Act (“CEA”) section 2(h)(8) to “Eligible Affiliate Counterparties,” as defined in CFTC regulation 50.52(a), that engage in swap transactions with one another that involve a swap subject to the trade execution requirement.

Please see full newsletter below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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