Swaps, Compliance | JD Supra Law News

SEC Proposed Rules and Interpretive Guidance for Cross-Border Security-Based Swap Activities

by White & Case LLP on 5/3/2013

Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act") (enacted July 21, 2010) generally became effective on July 16, 2011. Since then, the Securities and Exchange Commission ("SEC") has...more

2013 Mutual Funds and Investment Management Conference

by Ropes & Gray LLP on 4/10/2013

In this presentation: - General Counsel’s Address - Keynote Address - General Session — It’s a Small World After All: How Non-U.S. Regulators Affect Your Business - General Session — Closer to...more

CFTC Extends Compliance Dates For End User Swap Reporting

by Nate Endrud | Leonard, Street and Deinard - Dodd-Frank and... on 4/10/2013

The CFTC has issued a no-action letter that effectively extends the dates for swap counterparties who are not swap dealers (SDs) or major swap participants (MSPs) to come into compliance with the agency’s reporting rules...more

CFTC Announces Revised Compliance Schedule For Required Clearing

by Elan Mendel | Shipkevich PLLC on 2/26/2013

The CFTC’s Division of Clearing and Risk (DCR) today announced a revised compliance schedule for required clearing of iTraxx CDS Indices. The CFTC received notice from ICE Clear Credit LLC that it has begun offering customer...more

End Users of Swaps: Deadline Extended for Swap Documentation to Comply with New Federal Requirements

by Peter Fanchi, Gregory Mennerick, Thomas Minogue, Gregory Omer, Richard Reibman | Thompson Coburn LLP on 2/8/2013

Federal authorities have extended the deadline imposed on swap dealers and major swap participants to amend swap documentation to comply with certain new legal requirements imposed by the Dodd-Frank Act. The deadline for...more

New Rules Coming into Effect Affect Retirement Plans Entering into Swaps

by King & Spalding on 2/5/2013

New rules affecting ERISA-covered retirement plans entering into swap transactions will come into effect in May 2013. These rules, known as the “Business Conduct Standards,” implement certain provisions of the Dodd-Frank...more

Deferral of the Swaps Push-Out Requirement, But Only for Insured Federal Depository Institutions

by Ian Cuillerier, Ernest (Ernie) T. Patrikis, Duane D. Wall | White & Case LLP on 1/17/2013

An insured federal depository institution may request a transition period to comply with the “push-out” requirements of section 716 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”)...more

Year-End Developments And Compliance Checklists

by Cole Beaubouef, Richard Bernstein, George Danenhauer, Marie DeFalco, David Goret, Peter Greene, Elaine Hughes, Allen Levithan, Matthew Magidson, Robert Minion, Scott H. Moss | Lowenstein Sandler LLP on 1/17/2013

Lowenstein Sandler’s Investment Management Group is pleased to provide you with (i) a summary of recent legislative and regulatory developments that impact the investment management community; and (ii) checklists of year-end...more

"CFTC Issues Final Exemptive Order on Cross-Border Application of Certain Swap Regulations"

by Maureen A. Donley, Ryan Elsey, Theodore M. Kneller, Mark D. Young | Skadden, Arps, Slate, Meagher & Flom LLP on 1/12/2013

Swaps trade in a global market. Title VII of the Dodd-Frank Act amended the Commodity Exchange Act (CEA) to impose a panoply of regulation on the swaps market mostly through regulations adopted by the Commodity Futures...more

CFTC Interim Final Rules on Business Conduct and Documentation Requirements

by Orrick - Structured Finance Group on 1/9/2013

On December 18, 2012, the CFTC approved interim final rules for swap dealers and major swap participants which defer compliance with certain business conduct and documentation requirements until either May 1 or July 1,...more

NFA Issues Guidance on Bylaw 1101 Compliance for Pending Introducing Brokers

by James M. Brady, Blake Brockway, Kenneth M. Rosenzweig | Katten Muchin Rosenman LLP on 1/9/2013

On December 27, National Futures Association issued guidance for NFA members carrying accounts, accepting orders or handling transactions from an introducing broker (IB) whose NFA membership is pending in reliance upon...more

Energy Alert: 9 Dodd-Frank New Year's Resolutions For Energy Companies

by Nate Endrud | Leonard, Street and Deinard on 1/3/2013

The Commodity Futures Trading Commission rulemaking whirlwind that was 2012 has come and gone, putting that agency's comprehensive swap regulatory regime mostly in place. Here are nine important actions energy companies...more

Dodd-Frank New Year’s Resolutions For Energy Companies And Other Swaps End Users

by Nate Endrud | Leonard, Street and Deinard - Dodd-Frank and... on 1/2/2013

The CFTC rulemaking whirlwind that was 2012 has come and gone, putting the agency’s comprehensive swap regulatory regime mostly in place. While many energy companies and other swaps end users found much to be happy about in...more

The CFTC Issues Interim Final Rules Extending the Time for Compliance for Certain Business Conduct and Documentation Requirements...

by Ian Cuillerier, Claire Hall, Yvette D. Valdez | White & Case LLP on 12/29/2012

On December 18, 2012, the US Commodity Futures Trading Commission’s (the “Commission”) approved interim final rules (the “Interim Final Rules”) for swap dealers (“SDs”) and major swap participants (“MSPs”) that delay...more

CFTC Extends Compliance Dates for Certain Swap Dealer and Major Swap Participant Requirements

by James M. Brady, Kevin M. Foley, Kenneth M. Rosenzweig | Katten Muchin Rosenman LLP on 12/28/2012

The Commodity Futures Trading Commission has issued interim final rules extending the effective dates for certain business conduct and documentation requirements for swap dealers (SDs) and major swap participants (MSPs)...more

CFTC Issues No-Action Letters Relating to Swaps

by James M. Brady, Kevin M. Foley, Kenneth M. Rosenzweig | Katten Muchin Rosenman LLP on 12/28/2012

Commodity Futures Trading Commission Staff have released several no-action letters relating to various requirements associated with swap trading, including swap dealer (SD) reporting requirements, SD chief compliance officer...more

CFTC Approves Final Rule Requiring Recording of Oral Communications

by Katten Muchin Rosenman LLP on 12/24/2012

On December 17, 2012, the Commodity Futures Trading Commission (CFTC) adopted final rules amending CFTC Regulations 1.31 and 1.35. The final rules require certain market participants to record oral communications that lead to...more

"ISDA Dodd-Frank Protocol Update: CFTC Delays Compliance"

by Maureen A. Donley, Theodore M. Kneller, Mark D. Young | Skadden, Arps, Slate, Meagher & Flom LLP on 12/20/2012

The Commodity Futures Trading Commission (CFTC) has issued an interim rule to extend the compliance date with certain business conduct standards (BCS) and documentation rules for swap dealers and major swap participants. The...more

CFTC Compliance Dates Timeline As of December 5, 2012

by Skadden, Arps, Slate, Meagher & Flom LLP on 12/11/2012

Over the past two and a half years, the Commodity Futures Trading Commission (CFTC) has adopted many rules to implement Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which establishes a...more

"CFTC Delays Registration Deadline for Certain Commodity Pool Operators and Commodity Trading Advisors"

by Skadden, Arps, Slate, Meagher & Flom LLP on 10/12/2012

On October 12, 2012, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) issued “Temporary Registration No-Action Relief” (Temporary No-Action Relief) to commodity...more

CFTC Grants Pre-Trade Extension

by Shipkevich PLLC on 9/27/2012

The CFTC’s Division of Clearing and Risk granted an eight-month extension for pre-trade screening requirements on Wednesday. The new requirement (Rule 1.73) was scheduled to go into effect on October 1. Market participants...more

Baker & McKenzie: CFTC issues final rules establishing swap dealer and major swap participant requirements for swap trading...

by Baker & McKenzie Australia on 9/21/2012

On August 27, 2012 the U.S. Commodity Futures Trading Commission (CFTC) approved final rules on the timely and accurate confirmation, processing, netting, documentation, and valuation of all swaps, as well as the...more

Home

Legal News

Find a Lawyer

Browse Subjects

Subscribe

Pro Services

For Reporters

Swaps › Compliance