End-Users

News & Analysis as of

Orrick's Financial Industry Week in Review

EBA Final Report on Guidelines on Triggers for Use of Early Intervention Measures Under BRRD - On May 8, the European Banking Authority (EBA) published its final report (EBA/GL/2015/03) on guidelines on triggers for the...more

The Financial Report - Volume 4, No. 9 • May 2015 (Global)

Discussion and Analysis - Securities and investment advisory services offered through . . . That phrase is ubiquitous among small and “independent” financial services firms, regularly appearing in 6-point or...more

Who Exactly Is a ‘User’ under the DMCA Safe Harbor?

The DMCA was enacted in 1998 to preserve “strong incentives for service providers and copyright owners to cooperate to detect and deal with copyright infringements that take place in a digital networked environment.” As part...more

Swaps End-User Update CFTC Proposes Reporting and Recordkeeping Relief for Commodity Trade Options

On April 30, 2015, the U.S. Commodity Futures Trading Commission (CFTC) approved a notice of proposed rulemaking (Proposed Rules) to reduce reporting and recordkeeping obligations for end-users that use commodity trade...more

CFTC Proposes Changes to Trade Option Rules for End Users

The CFTC has proposed several important changes that would alleviate the reporting and recordkeeping obligations of end users with respect to trade options (or provide by rule certain relief currently only available under...more

"CFTC Proposes to Reduce Trade Option Reporting Requirements for Commercial End-Users"

Trade options are physically settled over-the-counter options on most deliverable commodities (e.g., agricultural, energy, or metals) where the buyer is a producer, processor, commercial user or merchant of the commodity...more

CFTC’s Massad on End-Users

CFTC Chair Timothy G. Massad delivered a speech on the importance of providing flexibility in the CFTC’s regulations to accommodate hedging by commercial end-users of derivatives. Mr. Massad highlighted the following...more

This Week In Securities Litigation

The SEC settled another action this week based on admissions of fact and that the Federal securities laws were filed, this time involving Oppenheimer. The action was based on the fact that the firm permitted an off-shore and...more

End-Users Are Dodd-Frank Collateral Damage According To CFTC Commissioner

CFTC Commissioner J. Christopher Giancarlo recently delivered remarks where he stated “Unfortunately, caught up in some of the collateral damage surrounding the Dodd-Frank reforms were the traditional commodity and energy...more

Claim Scope and the Actor(s) in a Claim

Scope of a claim and the number of actors in a claim are interrelated. Each of these affects what is claimed and whether this provides good claim coverage for the client. An apparatus claim is usually a single actor claim,...more

US Authorizes Sanctions and Export Controls Against Venezuela

On December 18, 2014, President Obama signed into law the Venezuela Defense of Human Rights and Civil Society Act of 2014 (the “Act”). The legislation authorizes the United States to impose sanctions against certain...more

Drop Your Weapons: The United States Restricts Military Exports to Venezuela

The U.S. Department of Commerce, Bureau of Industry and Security (BIS) has amended the Export Administration Regulations (EAR) to restrict exports to Venezuela of certain items intended for “a military end use or end user.” ...more

CFTC Provides Relief from the Clearing Requirement for Swaps Entered into by Eligible Treasury Affiliates

On November 26, CFTC issued a no-action letter providing additional relief for eligible treasury affiliates that enter into swaps that are subject to the clearing requirement in section 2(h)(1) of the Commodity Exchange Act...more

Know the Publisher’s Audit Rights: Frequency

When it comes to software license compliance, being compliant with the publisher’s licensing rules can be daunting enough. But compliance won’t stop a software audit. Scott & Scott, LLP attorney, Brian Kirkpatrick,...more

ISDA Says End User Transactions Dominate Interest Rate Derivative Markets

ISDA believes there is a misperception that only a small fraction of derivatives activity relates to hedging that benefits the “real economy.” ISDA has published an analysis that challenges this assumption. ...more

Public Companies: Board Should Review End-User Swap Approvals Annually

The Dodd-Frank Act permits certain end-users to elect to use an exception to the swap clearing requirements under certain conditions, which is referred to as the end-user exception. For public companies, the ability to elect...more

Autodesk Audits: Managing Independent Contractors

Scott & Scott, LLP attorney, Keli Johnson Swan, covers three possible scenarios involving independent contractors that have different licensing implications in Autodesk audits....more

Induction Ceremony

On April 30, 2014, the Supreme Court will be hearing oral argument in the case of Limelight Networks, Inc. v. Akamai Technologies. The question presented and to be decided is incredibly significant for future patent...more

Heartbleed SSL/TLS Vulnerability

"SSL" and "TLS" refer to the transport protocols that are used widely across the web to secure communications between end users and servers. Websites, web applications, online services, portals, and even some virtual private...more

Patent Infringement Lawsuits Against Software End-Users

Are you a Canadian software vendor with customers in the USA? Let’s say your US end-user customer is sued for patent infringement in the US based on use of your software, but the lawsuit avoids naming your company. In other...more

Update: An End-User’s Guide to the CFTC’s Final Cross-Border Guidance

There were a number of new developments with respect to the cross-border application of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) requirements for swaps in the latter part of 2013. This...more

LinkedIn Claims Breach of Contract by Bot Users

LinkedIn, the social networking site popular among professionals, recently filed suit in the US District Court for the Northern District of California against unknown users who deployed automated software programs known as...more

New Year Brings Changes To End User Reporting Requirements For Trade Options And Swaps

The first half of 2014 will bring changes to the end user reporting requirements for trade options and swaps—namely, (1) the commencement of the annual Form TO reporting requirement for unreported trade options and (2) a...more

"CFTC Deadlines Loom for Commercial End Users"

End users of swaps should be aware of three impending deadlines for complying with new Commodity Futures Trading Commission (CFTC) regulations....more

An End-User's Guide to the CFTC's Final Cross-Border Guidance

Last month, the U.S. Commodity Futures Trading Commission (CFTC) issued final interpretive guidance with respect to the cross-border application of the Dodd-Frank Wall Street Reform and Consumer Protection Act’s (Dodd-Frank...more

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