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Risk Assessment Market Participants

Holland & Knight LLP

Thorough Exam: SEC's Division of Examinations Announces Fiscal Year 2024 Priorities

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Amid ongoing federal government shutdown risks and the close of its fiscal year, the U.S. Securities and Exchange Commission's (SEC) Division of Examinations (Exams) recently announced its fiscal year (FY) 2024 priorities....more

Latham & Watkins LLP

Funded Reinsurance: the PRA Flags Risks From Schematic Review

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UK regulator continues to raise concerns that current market practices could lead to systemic risk. The Prudential Regulation Authority (PRA) has issued another communication, the latest of a series related to...more

Hogan Lovells

Checklist of key legal issues for derivatives counterparties amid the COVID-19 pandemic

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The current COVID-19 pandemic has already impacted many derivatives transactions. This note sets out a checklist of key legal issues market participants may need to consider in relation to OTC derivatives contracts....more

Dorsey & Whitney LLP

SEC Staff Publishes Statement on Risks of Transition Away from LIBOR

Dorsey & Whitney LLP on

As a continuation of our previous update on the phase-out of the London Interbank Overnight Rate (“LIBOR”) (April 30, 2019: What the LIBOR Phase-out Means for Debt Capital Market Participants), the Securities and Exchange...more

McGuireWoods LLP

New CFTC Cybersecurity Standards Are Coming Soon

McGuireWoods LLP on

On September 29, 2015, Commodity Futures Trading Commission (CFTC) Chairman Timothy Massad delivered a “State of the Derivatives Marketplace” speech before the 3rd Annual OTC Derivative Summit North America. The speech...more

Snell & Wilmer

Brokers Beware: Will the SEC Extend New Cyber Guidance to Brokers and Investment Advisers?

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Against the backdrop of a steady stream of cyber-attacks and data breaches, Securities and Exchange Commissioner Luis A. Aguilar recently spoke about his hope to expand upcoming SEC cyber security guidance, known as...more

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