Derivatives

News & Analysis as of

Canadian Securities Regulators Delay Implementation of Derivatives Trade Reporting

Canadian securities regulators announced today that trade reporting requirements for over-the-counter (OTC) derivatives transactions that involve “local counterparties” in the provinces of Ontario, Québec and Manitoba will...more

Financial Regulatory Developments Focus - April 8, 2014

In this issue: - Derivatives - Bank Structure - Regulatory Capital - Financial Services - Financial Market Infrastructure - Funds - Financial Crime - People -...more

Reform and Regulation of Derivative Transactions

Peter Malyshev is counsel at Latham & Watkins where he focuses his practice on regulatory, compliance and transactional issues relating to commodities, securities and derivatives products markets. ...more

Over-The-Counter Derivatives and Financial Benchmarks Regulations

The first bill to implement the proposals contained within the 2014 Federal Budget for over-the-counter derivatives regulations and financial benchmarks has been introduced in Parliament. Bill C-31, titled the Economic Action...more

Financial Regulatory Developments Focus - April 1, 2014

In this issue: - Derivatives - Bank Structure - Compensation - Regulatory Capital - Financial Services - Funds - Consumer Protection - Enforcement -...more

Reform of the Derivative Markets in the European Union

The phased-in implementation of the European Market Infrastructure Regulation1 (EMIR), the European Union’s wide-ranging reform of its derivative markets, is due to continue throughout 2014. Risk mitigation rules were...more

Financial Regulatory Developments Focus - March 25, 2014

In this issue: - Derivatives - Compensation - Regulatory Capital - Financial Market Infrastructure - Funds Enforcement - Events Hearings - People - Excerpt from...more

Financial Regulatory Developments Focus - March 18, 2014

In this issue: - Derivatives - Compensation - Regulatory Capital - Financial Market Infrastructure - Financial Services - Consumer Protection - Enforcement - People - Events -...more

Fourth Update: Dodd-Frank Rules Impact End-Users of Foreign Exchange Derivatives - Key Recent Developments

This March 2014 update is a summary of certain recent developments under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) that impact corporate end-users of over-the-counter foreign exchange (FX)...more

FCA Bans Former Derivatives Trader

On February 25, the FCA published the final notice it issued to David Hobbs, a former derivatives trader, banning him from performing any regulatory function. The final notice follows the decision of the Upper Tribunal...more

Financial Regulatory Developments Focus - March 4, 2014

In this issue: - Derivatives - Regulatory Capital - Financial Services - Funds - Enforcement - Events - Excerpt from Derivatives: Common Data Format for Pre-LOUs for the...more

ESMA Calls for a Uniform Definition of “Derivatives” Under EMIR

The European Securities and Markets Authority has requested clarity on the definition to ensure consistent application across member states. Following industry lobbying, the European Securities and Markets Authority...more

EMIR FX Forward Reporting Delayed as ESMA Asks European Commission to Clarify Derivatives Definition

There has been another very significant twist in the somewhat chaotic implementation of the European Market Infrastructure Regulation (EMIR) as the European Securities and Markets Authority (ESMA) has today requested the...more

Actions Required For Hedge Funds Under Derivatives Reforms – Europe Update

The European Market Infrastructure Regulation (EMIR1) imposes new reporting, clearing, collateral and conduct of business requirements on all derivatives market participants which are based in the EU or deal with EU...more

Financial Regulatory Developments Focus - February 2014

In this issue: - Derivatives - Regulatory Capital - Financial Services - Hearings - Excerpt from Derivatives: FSB Consults on Approaches to Aggregate OTC Derivatives Data On 4...more

Nailing the LEIs – How EMIR Trade Reporting Obligations Will Affect UCITS and Alternative Investment Funds

The European Market Infrastructure Regulation (Regulation No. 648/2012), known as “EMIR”, requires entities that transact derivatives to report prescribed details of any financial derivative instruments (“FDIs”) they conclude...more

Shareholder Derivative Suit Dismissed for Failure to Show Demand Futility

The Supreme Court of the State of New York, County of New York recently dismissed a shareholder derivative suit on behalf of Travelzoo, Inc. because plaintiff shareholder failed to plead that demand on the board to sue would...more

Financial Regulatory Development Focus

In this issue: - Derivatives - Regulatory Capital - Financial Services - Consumer Protection - Enforcement - Funds - People - Events - Hearings - Excerpt...more

"EU Derivatives Reporting Obligations Clarified as February 12 Deadline Approaches"

The European Market Infrastructure Regulation (EMIR) requires EU-counterparties to all derivative contracts, whether traded on- or off-exchange, to report certain information and details relating to the trade to a registered...more

EMIR Trade Reporting Requirements Come Into Effect 12 February 2014

Following the European Securities and Markets Authority’s approval and registration of the first four trade repositories (TRs) in November 2013, counterparties to all types of over-the-counter and exchange-traded derivatives...more

Delegation’s What You Need: EMIR Reporting for SPVs

Introduction - European Market Infrastructure Regulation (EMIR) has been in force since 16 August 2012. It is concerned with improving the transparency of, and reducing the risks associated with, the derivatives...more

"EMIR Regulations Continue to Impact Derivatives Markets in 2014"

The financial crisis highlighted a number of problems in global OTC derivatives markets, including transparency, counterparty credit risk and a consequent removal of market liquidity. International concerns about these...more

Rating Agency Developments - January 14, 2014

On January 6, Fitch released its methodology for rating derivative product companies. ...more

Orrick's Financial Industry Week in Review - January 13, 2014

European Parliament Committee Publishes Opinion on Money Laundering Directive 4 - On January 7, the European Parliament published an opinion, written by its Committee on Legal Affairs (or JURI) relating to the...more

The Financial Report - Volume 3, No. 1 • January 2014 (Global)

Invariably, the end of a calendar year brings “year-in-review” retrospectives on topics both major and mundane. Similarly, the start of a new calendar year is always accompanied by predictions and forecasts for the ensuing 12...more

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