Swaps, Dodd-Frank, Derivatives

The Extraterritorial Reach of Derivative Regulation Under Dodd-Frank

by Eileen Bannon | Holland & Knight LLP on 4/15/2013

In the wake of the financial crisis, global regulators have endeavored to undertake significant regulatory reform of the swaps markets. In 2009, the members of the G-20 agreed that: (i) the OTC derivatives contracts should be...more

Burr Alert: CFTC Issues New Guidelines Concerning Eligibility Of Swap Guarantors

by Adam Sonenshine | Burr & Forman on 3/21/2013

In secured lending transactions, lenders frequently allow, and even require, borrowers to enter into swap agreements and other financial derivatives to hedge against different business risks, including fluctuations in...more

Dodd-Frank Swap Data Overlooked In JPMorgan Whale Mess

by Felix Shipkevich | Shipkevich PLLC on 3/20/2013

Dodd-Frank derivatives rules have failed to give regulators a complete perspective of the swaps market, which includes the recent loss similar to the JPMorgan Chase & Co.’s London Whale trades....more

Imminent Dodd-Frank Compliance Issues for Users of Swaps and Derivatives

by David Reicher, Kathryn Trkla | Foley & Lardner LLP on 2/22/2013

Implementation of the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) affecting users of swaps and derivatives has been moving forward. Numerous rules of the Commodity Futures...more

Swapping Uncertainty for Clarity – U.S. Department of Labor Issues ERISA Opinion on Swaps

by Susan M. Camillo, Andrew L. Oringer | Dechert LLP on 2/15/2013

Much of the investment capital in the U.S. market is in retirement plans subject to the Employee Retirement Income Security Act of 1974 (“ERISA”). Over the years, an important element of a number of plans’ investment...more

CFTC Delays Swaps Vote

by Elan Mendel | Shipkevich PLLC on 2/13/2013

Yesterday, the CFTC delayed a vote that would establish trading venues for complex derivatives that contributed to the 2008 financial crisis. The Wall Street Journal reports that the agency’s swing vote brought up concerns...more

Legal Alert: ISDA Accepting Comments on Draft Dodd-Frank "Protocol 2.0"

by Cheryl I. Aaron, James M. Cain, Doyle Campbell, Kalaundra Y. Carreathers, Warren N. Davis, Jacob Dweck, Daphne G. Frydman, Meghan R. Gruebner, Alexander S. Holtan, Meltem F. Kodaman, more +Catherine M. Krupka, David T. McIndoe, Raymond A. Ramirez, Mark D. Sherrill, R. Michael Sweeney, Jr. | Sutherland Asbill & Brennan LLP on 2/6/2013

Pursuant to Title VII of the Dodd-Frank Wall Street Reform and Customer Protection Act (Dodd-Frank), the Commodity Futures Trading Commission (CFTC) has adopted a number of final regulations that require swap dealers (SDs)...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

The Other Lincoln Amendment: Will The Fed Go Soft On Derivatives?

by Felix Shipkevich | Shipkevich PLLC on 1/9/2013

It what is widely seen as a correction of an oversight, the U.S. Federal Reserve is debating whether to allow foreign banks to avoid expensive regulation. The issue stems from an amendment to the Dodd-Frank Act named after...more

Financial Services – Update on UK and European Regulatory Developments

by Dechert LLP on 12/20/2012

This update summarises current regulatory developments impacting the asset management sector in the UK and throughout the European Union. In this issue: - Part A – Regulation of Financial Markets - Part B –...more

CFTC Issues First Clearing Determination for Certain Credit Default Swaps and Interest Rate Swaps

by White & Case LLP on 12/14/2012

On November 28, 2012, the CFTC issued its final clearing determination requiring certain credit default swaps and interest rate swaps be cleared by registered derivatives clearing organizations (DCOs). This is the CFTC’s...more

Dodd-Frank Protocol Carries Burdens and Benefits for Pension Plans

by Dulcie D. Brand, Anthony H. Schouten, Jeffrey Stern | Pillsbury Winthrop Shaw Pittman LLP on 12/12/2012

The Commodity Futures Trading Commission has issued new “know your customer” and external business conduct rules to give effect to certain provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection...more

Unintended Consequences Avoided? CFTC Provides Relief for Certain Securitization Vehicles

by Dechert LLP on 10/17/2012

Last Thursday, the U.S. Commodity Futures Trading Commission (“CFTC”) responded to ASF’s and SIFMA’s requests for relief from the new CFTC rules which implemented certain Dodd-Frank amendments that brought swaps within the...more

ISDA and SIFMA Win Summary Judgment on Challenge to CFTC Position Limits Rule

by Katten Muchin Rosenman LLP on 10/10/2012

The United States District Court for the District of Columbia granted summary judgment for plaintiffs International Swaps and Derivatives Association (ISDA) and Securities Industry and Financial Markets Association (SIFMA),...more

Focus on Private Equity -- Issue 2, October 2012

by McDermott Will & Emery on 10/4/2012

In This Issue: Excerpt from Year-End Tax Planning Steps for Private Equity The last time the Bush tax cuts were set to expire at the end of 2010, we saw numerous clients scrambling to execute end-of-the-year...more

District Court Rejects CFTC Rule on Position Limits, for Now

by Jackson Walker on 10/3/2012

On September 28, 2012, in the case of International Swaps and Derivatives Association v. U.S. Commodity Futures Trading Commission, the District Court for the District of Columbia (the "Court") ruled that the Commodity...more

"Court Vacates CFTC Position Limit Rules"

by Skadden, Arps, Slate, Meagher & Flom LLP on 10/2/2012

On September 28, 2012, Judge Robert Wilkins of the U.S. District Court for the District of Columbia granted the summary judgment motion of the International Swaps and Derivatives Association and Securities Industry and...more

Court Vacates CFTC Position Limits Rules

by Dechert LLP on 10/1/2012

Last Friday, September 28th, the U.S. Federal District Court in Washington, D.C. (“Court”) struck down the commodity speculative position limit rulemaking that the U.S. Commodity Futures Trading Commission (“CFTC”) had...more

Court Vacates CFTC’s Position Limits Rule

by Leonard, Street and Deinard - Dodd-Frank and... on 10/1/2012

The CFTC’s final rule on position limits with respect to derivative contracts in 28 different physical commodities has been vacated and remanded back to the agency. Spot month limits under the rule had been set to go into...more

Court Strikes Down ‘Critical’ CFTC Rule

by Shipkevich PLLC on 10/1/2012

U.S. District Court Judge Robert Wilkins has blocked a CFTC rule that sets position limits on derivatives tied to 28 commodities. “The CFTC’s error in this case was that it fundamentally misunderstood and failed to...more

Swap Definitions Rules Finalized by the SEC and the CFTC under Dodd-Frank

by K&L Gates LLP on 9/25/2012

Introduction - On July 18, 2012, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC” and, together with the SEC, the “Commissions”) jointly published several final rules...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

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Swaps › Dodd-Frank Wall Street Reform and Consumer Protection Act › Derivatives