News & Analysis as of

Investment Management Swap Dealers

Cadwalader, Wickersham & Taft LLP

InDepth: CFTC’s Regulatory Priorities for 2023

Much like taxes and mortality, it is certain that during 2023 the U.S. Commodity Futures Trading Commission (“CFTC”) will promulgate new rules, issue interpretation and guidance, issue no-action letters, engage in...more

Alston & Bird

Investment Management, Trading & Markets Updates – October 2020

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SEC Proposes Streamlined Shareholder Reports for Retail Investors - On August 5, 2020, the Securities and Exchange Commission (SEC) announced a proposal to modify the mutual fund and exchange-traded fund (ETF) disclosure...more

K&L Gates LLP

Derivatives Updates: 2019 Washington D.C. Investment Management Conference

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OVERVIEW - - Market Developments: Regulatory and Compliance - Market Developments: Transactional and Marketplace ...more

Morgan Lewis

DSIO Director Explains Thematic Commodity Pool Operator Swap Dealer Review Program

Morgan Lewis on

In late September, the director of the Division of Swap Dealer and Intermediary Oversight (DSIO) of the US Commodity Futures Trading Commission (CFTC), Joshua Sterling, announced a new examination program for commodity pool...more

Morrison & Foerster LLP

CFTC Proposes Rules to Delay Compliance Date for Initial Margin for Swaps with Certain Smaller Financial End Users

Morrison & Foerster LLP on

On October 16, 2019, the Commodity Futures Trading Commission (CFTC) proposed rules that, if finalized, would delay by one year the date by which swap dealers must comply with the CFTC’s initial margin (IM) requirements in...more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update - November 2015

Morrison & Foerster LLP on

Regulation - OCIE Cautions Advisers on Outsourcing Compliance Activities: In a Risk Alert dated November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) said it found that outsourced...more

K&L Gates LLP

Cybersecurity Update: National Futures Association Proposes Cybersecurity Guidance Setting Forth General Requirements for Member...

K&L Gates LLP on

The National Futures Association (“NFA”) submitted to the Commodity Futures Trading Commission (“CFTC”) on August 28, 2015 a proposed Interpretive Notice (“Proposed Guidance”) for CFTC’s approval, which provides guidance to...more

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