News & Analysis as of

OTC Derivatives

Canadian Regulators Finalize Customer Protection Rules for Cleared OTC Derivatives

The Canadian Securities Administrators (CSA) recently published National Instrument 94-102 – Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and the related Companion Policy (collectively,...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - Class Action Against Lending Club and WebBank Headed to Defeat - On Monday, January 31, 2017, a federal district court in the Southern District of New York granted a motion to...more

The Delta Report – Derivatives Newsletter: January 2017

by White & Case LLP on

In this first issue of The Delta Report for 2017, we cover crucial updates on developments in the derivatives space in Europe and Asia. In the UK, Brexit-related issues continue to take the spotlight. The Article 50 challenge...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - Class Action Against Lending Club and WebBank Headed to Defeat - On Monday, January 31, 2017, a federal district court in the Southern District of New York granted a motion to...more

European Margin Rules for Non-cleared OTC Derivatives – The Margin Big Bang

by White & Case LLP on

After a six-month delay, the rules governing the mandatory posting of collateral for uncleared derivatives entered into force on 4 January 2017. By 1 March 2017, all in-scope counterparties will be obliged to post variation...more

Canadian Regulators Finalize Mandatory OTC Derivatives Clearing Rules

On January 19, 2017, the Canadian Securities Administrators (CSA) published National Instrument 94-101 – Mandatory Central Counterparty Clearing of Derivatives and Companion Policy 94-101 (collectively, the Clearing...more

EMIR: Intra-group Exemptions from Uncleared Margin Requirements – FCA Opens Application Process

by Reed Smith on

On 4 January 2017, the FCA opened its application process for the intra-group transaction ("IGT") exemption to the EU’s new requirements to exchange margin for uncleared OTC derivative contracts (as set out in Commission...more

Singapore Legal Update - January 2017

by Allen & Overy LLP on

MAS Amends the Requirements for Related Party Transactions for Banks - On 21 November 2016, the MAS issued an amended Notice 643 to Banks on Transactions with Related Parties. It will take effect in two years, on 18...more

Historic Risk Management Rules and Practices Go Live on March 1, 2017 in Leading Markets

by Seyfarth Shaw LLP on

For the first time in the history of derivatives, regulators in leading markets will require assets to collateralize many derivatives which are not settled in a regulated clearinghouse. It is not possible to overstate...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

by Dechert LLP on

EMIR – Revised List of CCPs and New Rules to Mitigate Risks in Non-Cleared OTC Derivative Transactions ESMA updated its list on 29 September 2016 of third-country central counterparties recognised to offer services and...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - The CFPB Publishes Final Rule for Prepaid Accounts - On October 5, 2016, the Consumer Financial Protection Bureau (the "CFPB") finalized comprehensive consumer protections for...more

The Delta Report – Derivatives Newsletter: September 2016

by White & Case LLP on

In this issue of The Delta Report, we bring you further updates on developments in the global derivatives space. In Europe, the focus is on Brexit and the newly-released EU final regulatory standards on the valuation of...more

European Supervisory Authorities Opines on Final Draft Technical Standards on Uncleared Derivatives

by Shearman & Sterling LLP on

The Joint Committee of the European Supervisory Authorities published an Opinion on the European Commission's proposed amendments to the final draft Regulatory Technical Standards on risk mitigation techniques for uncleared...more

Expanded Licensing Regime for Asset Managers Managing OTC Derivatives Transactions

Key Points - - Amended Hong Kong Securities and Futures Ordinance expands existing type 9 Regulated Activity (Asset Management) to cover management of OTC derivative products. - A Type 9 licenseholder managing...more

SEC Approves Generic Listing Standards for Active ETFs

by Morgan Lewis on

New standards are expected to simplify and expedite the process of launching an actively managed ETF. On July 22, the US Securities and Exchange Commission (SEC) issued orders approving proposals by Bats BZX Exchange,...more

Brexit: Overview of Potential Impact on Derivatives

by Morrison & Foerster LLP on

The process of Brexit will take many years, and the implications for our clients’ businesses will unfold over time. Our MoFo Brexit Task Force is coordinating Brexit-related legal analysis across all of our offices, and...more

European Margin Rules for Non-Cleared OTC Derivatives – Final Draft RTS are adopted by the European Supervisory Authorities

by White & Case LLP on

On 8 March 2016, the European supervisory authorities (the "ESAs") adopted the long-awaited final draft RTS on margin requirements for non-cleared derivatives (the "Margin Rules"). The Margin Rules constitute the risk...more

OTC Derivatives Reporting and Clearing in Singapore – An Update on the Regulatory Reforms

by White & Case LLP on

Since 2012, in line with its commitment to the G20 and Financial Stability Board ("FSB") reform objectives, the Monetary Authority of Singapore (the "MAS") has undertaken a comprehensive review of the Securities and Futures...more

Financial Services Quarterly Report - Second Quarter 2016: MiFID II: Key Considerations for Asset Managers

by Dechert LLP on

The Council of the European Union on 13 May 2014 formally endorsed a new regulatory regime that will replace the current Markets in Financial Instruments Directive (MiFID), which has been in force since 2007. The new...more

The Delta Report - June 2016

by White & Case LLP on

White & Case LLP is proud to introduce the first edition of our derivatives newsletter, The Delta Report. In each issue, we will highlight recent key regulatory developments across the Americas, Europe and Asia and discuss...more

UK Financial Regulatory Developments - June 2016 #4

by Dentons on

ESMA publishes EU MAR Q&A - ESMA has published a Q&A document relating to practical issues surrounding the implementation of the Market Abuse Regulation (EU MAR). It clarifies the scope of firms subject to the EU MAR...more

Derivatives: ISDA Announces 2016 New York Law Variation Margin Credit Support Annex

by Liskow & Lewis on

On April 14, 2016, the International Swaps and Derivatives Association, Inc. (ISDA) announced the 2016 ISDA Credit Support Annex for Variation Margin for use with New York law transactions (the 2016 CSA). ISDA is in...more

Brexit – Legal Consequences For Commercial Parties: Derivatives – Possible Implications

by Allen & Overy LLP on

This article aims to highlight some of the areas in which Brexit may impact the derivatives markets and discusses possible documentation, regulatory and legal implications. However, it is important to note that the particular...more

APRA Consults On Margin Requirements And Other Risk Mitigation Standards For Non-Centrally Cleared OTC Derivatives

by Allen & Overy LLP on

On 25 February 2016, the Australian Prudential Regulation Authority (APRA) published a discussion paper and a draft prudential standard setting out APRA’s proposals for implementing margin requirements and other risk...more

Financial Services Quarterly Report - First Quarter 2016: Singapore Continues Global Trend in Derivatives Regulation: Reporting...

by Dechert LLP on

The Monetary Authority of Singapore (MAS) continues to develop and strengthen its regulation of derivatives markets, most recently focusing its attention on the formulation and completion of a comprehensive reporting regime....more

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