News & Analysis as of

Cross-Border Commodities Futures Trading Commission

Katten Muchin Rosenman LLP

Copy and Paste: The SEC Adopts Security-Based Swap Execution Facility Rules that Closely Resemble Existing CFTC Swap Execution...

After issuing two proposals, the Securities and Exchange Commission (SEC) adopted final rules (Final Rules) to establish its trading regime for security-based swaps (SBS) as required under the Dodd-Frank Wall Street Reform...more

WilmerHale

Global Anti-Bribery Year-in-Review: 2022 Developments and Predictions for 2023

WilmerHale on

While Foreign Corrupt Practices Act (FCPA) enforcement activity has not come close to returning to the heights seen a few years ago, 2022 reflected significant increases from the prior year in both the number of cases against...more

WilmerHale

PWG Report on Stablecoins - Implications for the Regulatory Environment

WilmerHale on

On November 1, 2021, the President’s Working Group on Financial Markets (PWG) - along with the Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the Currency (OCC) - published the Report on...more

Latham & Watkins LLP

What to Know About the New CFTC Cross-Border Swaps Regime

Latham & Watkins LLP on

This Client Alert White Paper serves as a comprehensive guide to the new rule, which largely supersedes prior CFTC guidance that had informed market practice for over seven years. Key Points: ..The new rule became...more

Katten Muchin Rosenman LLP

A Promise Made, a Promise Kept: CFTC Adopts Final Cross-Border Swaps Rules Largely as Proposed

KEY POINTS - - The Commodity Futures Trading Commission (CFTC) has finalized its proposed new rule (Final Rule) relating to the cross-border application of certain of its swap regulations. - The Final Rule supersedes...more

Skadden, Arps, Slate, Meagher & Flom LLP

CFTC Finalizes Cross-Border Swaps Rule

On July 23, 2020, the Commodity Futures Trading Commission (CFTC or Commission) voted 3-2 to approve a final rule (Final Rule) on the cross-border application of certain swap provisions under the Commodity Exchange Act (CEA)....more

Goodwin

Financial Services Weekly: Amendments To SEC Proxy Solicitation Rules Approved By A 3-1 Vote

Goodwin on

In This Issue. The Securities and Exchange Commission (SEC) finalized amendments to its proxy solicitation rules that will modify the practices of proxy advisory firms, providing them with greater transparency and...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Additional Rules for Security-Based Swaps, Cross-Border Regulatory...

SEC/CORPORATE - SEC Adopts Additional Rules for Security-Based Swaps - On June 21, the Securities and Exchange Commission adopted a panoply of final rules dealing with the following aspects of the regulation of...more

BakerHostetler

[Webinar] Cross-Border Regulation and Enforcement: Developments and Trends You Need to Know for 2019 - May 1st, 12:00pm ET

BakerHostetler on

Join BakerHostetler’s White Collar, Investigations and Securities Enforcement and Litigation team for a complimentary webinar on trends and predictions for 2019 in the cross-border government investigations and enforcement...more

BakerHostetler

2018 Year-End Cross-Border Government Investigations and Regulatory Enforcement Review

BakerHostetler on

BakerHostetler’s White Collar, Investigations and Securities Enforcement and Litigation team is pleased to release its 2018 Year-End Cross-Border Government Investigations and Regulatory Enforcement Review, a resource for...more

WilmerHale

2018 CFTC Year-In-Review

WilmerHale on

For the Commodity Futures Trading Commission (CFTC or Commission), 2018 was characterized by (1) an active enforcement program emphasizing cooperation and self-reporting, (2) increasing cross-border tension over supervision...more

A&O Shearman

CFTC Chairman Giancarlo White Paper: Cross-Border Swaps Regulation Version 2.0

A&O Shearman on

On Monday, October 1, Chairman of the Commodity Futures Trading Commission (the CFTC) J. Christopher Giancarlo released Cross-Border Swaps Regulation Version 2.0, a white paper (the White Paper) which calls for dramatic...more

Katten Muchin Rosenman LLP

Bridging the Weeks - September 2018

Four related Securities and Exchange Commission-registered investment advisers and/or broker-dealers agreed to pay a collective penalty close to US $100 million to resolve charges related to their purported implementation and...more

King & Spalding

FinTech Fraternization: CFTC and NFA Announce Cross-Border Collaboration Agreement

King & Spalding on

Nearly a year after then-acting US Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo actively promoted FinTech innovation as a key to economic growth, he has minted a groundbreaking FinTech...more

Proskauer - Blockchain and the Law

Bitcoin Futures Trading Kicks Off; CFTC to Monitor Risk

CBOE Global Markets Inc. (CBOE) began trading CFTC-approved bitcoin futures on December 10th, and CME Group Inc. (CME) will begin trading them on December 18th. Bitcoin futures have generated significant attention as the...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

FHFA Updates Progress on Fannie Mae and Freddie Mac Credit Risk Transfer Programs - On July 26, 2017, the Federal Housing Finance Agency released an update on the credit risk transfer programs of Freddie Mac and Fannie Mae...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Reform, Not Repeal, Likely for US Swaps Regulations"

Swaps transactions, virtually unregulated before the 2008 financial crisis, are regulated in the U.S. under Title VII of the Dodd-Frank Act. Title VII empowers the Commodity Futures Trading Commission (CFTC), for most swaps,...more

Morrison & Foerster LLP

CFTC Issues Cross-Border Proposal

Morrison & Foerster LLP on

On October 11, 2016, the U.S. Commodity Futures Trading Commission (“CFTC”) issued proposed rules to address certain issues related to the cross-border application of Title VII of the Dodd-Frank Wall Street Reform and...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

Financial Industry Developments - Agencies Publish Study on Banking Activities and Investments under Dodd-Frank - On September 8, 2016, the Board of Governors of the Federal Reserve System, Federal Deposit Insurance...more

Orrick - Finance 20/20

CFTC Signs Memorandum of Understanding with Two Mexican Authorities to Enhance Supervision of Cross-Border Regulated Entities

Orrick - Finance 20/20 on

On September 6, 2016, the U.S. Commodity Futures Trading Commission announced that it “signed a Memorandum of Understanding (MOU) with the Comisión Nacional Bancaria y de Valores (CNBV) and the Banco de México (BDM) regarding...more

Morrison & Foerster LLP

Setting the Scene - Final SEC guidance on cross-border SBSs is likely to ease concerns surrounding reporting duties and compliance...

On July 13 2016, the US Securities and Exchange Commission (SEC) adopted amendments and guidance (Final Rules and Guidance) related to its rules on the regulatory reporting and public dissemination of security-based swaps...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

Financial Industry Developments - CFTC Announces Measures to Enhance Protection of Customer Funds - On August 8, 2016, the U.S. Commodity Futures Trading Commission (CFTC) announced three separate enhancements...more

A&O Shearman

CFTC Adopts Final Rules Regarding the Cross-Border Application of Its Swap Margin Requirements

A&O Shearman on

On May 24, 2016, the U.S. Commodity Futures Trading Commission (“CFTC”) adopted a final rule defining the cross border application of its margin requirements for uncleared swaps. The final rule covers all swap dealers and...more

Morrison & Foerster LLP

CFTC Issues Final Rules Regarding the Cross-Border Application of its Uncleared Swaps Margin Requirements - June 2016

On May 24, 2016, the Commodity Futures Trading Commission (“CFTC”) in a much anticipated action approved the issuance of final rules (“Final Rules”) regarding the cross-border application of its uncleared swaps margin...more

Skadden, Arps, Slate, Meagher & Flom LLP

CFTC Finalizes Cross-Border Margin Rules for Uncleared Swaps

On May 24, 2016, the Commodity Futures Trading Commission (CFTC) adopted final rules (cross-border margin rules) that specify how its recently issued uncleared margin rules apply to cross-border transactions. Chairman Timothy...more

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