News & Analysis as of September 18, 2024

European Union › Major Swap Participants

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The European Union is an economic and political partnership comprised of 27 nations within the Eurozone. The EU was established in 1948 to promote stability and cooperation among member states in the aftermath of WWII. The EU maintains a common currency as well as several intranational institutions, including the European Parliament and the European Commission. less -

Corporate and Financial Weekly Digest - Volume XII, Issue 10

Katten Muchin Rosenman LLP on 3/20/2017

CFTC Extends Public Comment Period for Swap Dealers and Major Swap Participants Minimum Capital Requirement Proposal - On March 16, the Commodity Futures Trading Commission published in the Federal Register its decision...more

Update: Prudential Regulators Delay Compliance Deadline for New Swap Margin Rules

Troutman Pepper on 2/27/2017

If you have been following our alerts on the pending deadlines (and the delays of these deadlines by certain regulators) of the new swap variation margin rules (New Swap Margin Rules) that were due to go into effect on March...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 12/16/2016

Financial Industry Developments - CTFC Approves Re-Proposal of Position Limits Regulation - On December 5, 2016, the U.S. Commodity Futures Trading Commission ("CFTC") unanimously approved to re-propose rules that...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 11/23/2016

Financial Industry Developments - CFTC Division of Market Oversight Reminds Market Participants of the Upcoming Expiration of Certain No-Action Relief From the Ownership and Control Final Rule - On November 16,...more

Corporate and Financial Weekly Digest - Volume XI, Issue 16

Katten Muchin Rosenman LLP on 4/25/2016

SEC/CORPORATE SEC Releases Registration Fee Estimator On April 18, the Securities and Exchange Commission announced the release of an online tool that will assist companies in calculating registration fees relating to...more

Bridging the Week - March 2016 #3

Katten Muchin Rosenman LLP on 3/22/2016

Industry Comments to Regulation AT Argue CFTC Proposed Rules Too Prescriptive; Registration and Source Code Requirements Particularly Objectionable - After declining multiple requests to extend the comment period that...more

Corporate and Financial Weekly Digest - Volume XI, Issue 10

Katten Muchin Rosenman LLP on 3/14/2016

BROKER-DEALER - SEC Announces Creation of Office of Risk and Strategy - On March 8, the Securities and Exchange Commission announced the creation of the Office of Risk and Strategy (ORS) within the SEC’s Office of...more

Corporate and Financial Weekly Digest - Volume X, Issue 44

Katten Muchin Rosenman LLP on 11/16/2015

BROKER-DEALER - FINRA Issues Investor Alert Regarding IRS Phone Scam - The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly...more

Financial Entity Update: CFTC’s Proposed Margin Rules for Uncleared Swaps – America’s Next Top Model

McGuireWoods LLP on 10/14/2015

Our first installment on the CFTC’s proposed margin rules (Margin Rules) for uncleared swaps addressed the importance of the “financial end user” definition and making certain notional calculations. Our second and third...more

Financial Entity Update: The CFTC’s Proposed Margin Rules for Uncleared Swaps – Goofy Haircut

McGuireWoods LLP on 8/25/2015

Under the Margin Rules, swap dealers and major swap participants that do not have a prudential regulator (Covered Swap Entities, or CSEs) would be required to collect and post initial margin for uncleared swaps with financial...more

Corporate & Financial Weekly Digest - Volume X, Issue 31

Katten Muchin Rosenman LLP on 8/17/2015

SEC Division of Corporate Finance Issues New CD&Is Relating to General Solicitation and Regulation D - On August 6, the Staff of the Division of Corporate Finance of the Securities and Exchange Commission (Staff)...more

Financial Entity Update: The CFTC’s Proposed Margin Rules for Uncleared Swaps – Know Thyself

McGuireWoods LLP on 8/4/2015

To clarify our intended audience, in the Financial Entity Update we will address issues germane to entities that trade swaps but are neither dealers nor commercial end users. This includes a broad and diverse group of...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 6/30/2015

EBA Updates Single Rulebook Q&As: June 26, 2015 - On June 26, 2015, the European Banking Authority (EBA) updated its Q&As on the single rulebook, publishing eight new questions. The single rulebook Q&As relate...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 4/22/2014

European Banking Authority Publishes Opinion on European Commission's Proposed Amendments to ITS - On April 16, the European Banking Authority (EBA) published via its website an opinion dated April 4, 2014 on...more

CFTC Grants No Action Relief to EU Swap Dealers from Swap Documentation Rules

Katten Muchin Rosenman LLP on 7/17/2013

Demonstrating coordination between US swap rules and those of the European Union, the Commodity Futures Trading Commission issued a no action letter (no. 13-45) on July 11 that permits a company organized under the laws of...more

Orrick's Financial Industry Week In Review - April 2, 2013

Orrick, Herrington & Sutcliffe LLP on 4/2/2013

In This Issue: *Financial Industry Developments - CFTC No-Action Relief for Commodity Trader Advisor Registration - CFTC Regulations on Associated Persons of Swap Dealers and Major Swap Participants -...more

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European Union › Major Swap Participants

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