CFTC Also Proposes Amendments to Help Non-U.S. CPOs and Extends its Uncleared Swap Margin Phase-In Schedule -
During the period from late May 2020 through early June 2020, the Commodity Futures Trading Commission held...more
8/6/2020
/ CFTC ,
Commodities ,
Commodity Exchange Act (CEA) ,
CPOs ,
Disqualification ,
Dodd-Frank ,
Exemptions ,
Interim Final Rules (IFR) ,
Margin Requirements ,
Swaps ,
Uncleared Swaps
Companies that the Financial Stability Oversight Council (FSOC) believes may be subject to FDIC receivership under the Orderly Liquidation Authority contained in Title II of the Dodd-Frank Act, and certain of their...more
3/8/2017
/ Bank Holding Company ,
Banks ,
Broker-Dealer ,
Court-Appointed Receivers ,
Derivatives Clearing Organizations ,
Dodd-Frank ,
Exemptions ,
FDIC ,
Financial Institutions ,
FSOC ,
Insolvency ,
Investment Adviser ,
Major Swap Participants ,
Qualified Financial Contracts (QFC) ,
recordkeeping ,
Recordkeeping Requirements ,
SIFIs
The U.S. Commodity Futures Trading Commission (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) provided no-action relief on February 12, 2016 to commodity pool operators (CPOs) and commodity trading advisors...more
2/19/2016
/ CFTC ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Dodd-Frank ,
DSIO ,
Foreign Entities ,
Intermediaries ,
NFA ,
No-Action Relief ,
Non-US Entities ,
Swaps ,
Uncleared Swaps
INTRODUCTION AND OVERVIEW OF DODD-FRANK TITLE VII -
Title VII of the U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act ("Title VII" or "Dodd- Frank"), enacted on July 21, 2010, provided for the first time...more
The U.S. Securities and Exchange Commission (SEC) adopted its final rules on the definition of the term “U.S. person” solely for purposes of certain aspects of cross-border security-based swap activities (Final Rules) on July...more
Introduction -
The U.S. Commodity Futures Trading Commission (“CFTC”) has proposed a comprehensive set of regulations imposing speculative position limits on exchange-traded futures and options contracts and...more