In this podcast, Greg Nowak, a partner in Troutman Pepper’s Investment Management and Compliance and Hedge Funds Practice Groups, is joined by Evan Katz, Managing Director of Crawford Ventures, Inc., for a candid review of...more
9/30/2020
/ Accredited Investors ,
Broker-Dealer ,
Capital Raising ,
CFTC ,
Compliance ,
Coronavirus/COVID-19 ,
Cross Trading ,
Cryptocurrency ,
Disclosure Requirements ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Fund Expenses ,
Initial Coin Offering (ICOs) ,
Investment Management ,
Investors ,
Merchant Cash Advance (MCA) ,
Rule 506(c) ,
Securities and Exchange Commission (SEC) ,
Securities Transactions ,
Token Sales
The Commodity Futures Trading Commission (CFTC) has now made it clear that, in its view, certain initial coin offerings (ICOs) within the United States or affecting U.S. residents may be within its jurisdiction. On October...more
10/19/2017
/ Blockchain ,
CFTC ,
Cryptocurrency ,
Digital Currency ,
Distributed Ledger Technology (DLT) ,
Dodd-Frank ,
Financial Markets ,
Initial Coin Offering (ICOs) ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Token Sales ,
Unregistered Securities ,
Virtual Currency
If you have been following our alerts on the pending deadlines (and the delays of these deadlines by certain regulators) of the new swap variation margin rules (New Swap Margin Rules) that were due to go into effect on March...more
2/27/2017
/ Banks ,
CFTC ,
Cross-Border Transactions ,
Deadlines ,
Depository Institutions ,
EU ,
Federal Reserve ,
Financial Institutions ,
Major Swap Participants ,
Margin Requirements ,
OCC ,
Swap Dealers ,
Swap Market ,
Swaps
Although the letter technically does not delay the effective date of March 1, 2017, from the perspective of the buy side, the letter functions as a “grace period,” and the compliance date has been moved to September 1, 2017....more
Because of the implementation of new regulatory requirements relating to both variation and initial margin for swaps, swap documentation for many market participants is about to become much more complicated....more
2/13/2017
/ AIG ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Credit Support Annex (CSA) ,
Dodd-Frank ,
End-Users ,
Financial Institutions ,
FX Swaps ,
ISDA ,
Jurisdiction ,
Margin Requirements ,
Over The Counter Derivatives (OTC) ,
Regulatory Standards ,
Securities ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swap Market ,
Swaps
The JOBS Act and the regulations thereunder (which went effective on September 23, 2013) applies to private issuers – including hedge funds and private equity funds – that want to make general solicitations within the context...more
The Jumpstart Our Business Startups Act (JOBS Act) directed the U.S. Securities and Exchange Commission (SEC) to eliminate the prohibition against general solicitation or general advertising in any offering of securities...more