News & Analysis as of

Derivatives

Financial Regulatory Developments Focus - April 2018 #3

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Asset Management Regulatory Roundup - April 2018 - Issue 7

by Dechert LLP on

A compact summary of the most recent regulatory developments relevant to the UK asset management industry. This issue includes details of the FCA’s statement on the implementation period for Brexit; the requirement for firms...more

Corporate & Financial Weekly Digest, Featuring Topics on Broker/Dealer and UK/EU Developments

BROKER-DEALER - Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits - The Nasdaq Stock Market LLC (Nasdaq) has filed with the Securities and Exchange Commission a proposed rule change to...more

Trade Reporting Deadlines for Derivatives Contracts

by Allen & Overy LLP on

The Securities and Futures (Reporting of Derivatives Contracts) Regulations 2013 (Regulations) have been amended with effect from 1 April 2018 in order to implement, among other things, the reporting of commodity derivatives...more

European Securities and Markets Authority Issues Final Guidelines for Position Calculation by Trade Repositories

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published finalized Guidelines on position calculation by trade repositories under the European Market Infrastructure Regulation. ESMA consulted on a draft version of the...more

FCA Statement on Cryptocurrency Derivatives

by Latham & Watkins LLP on

FCA warns providers of cryptocurrency derivatives of their regulatory obligations. The UK Financial Conduct Authority (FCA) has issued a statement reminding businesses offering cryptocurrency derivatives of the requirement...more

Financial Regulatory Developments Focus - April 2018

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Financial Stability Board Launches Survey on Legal Barriers to Reporting OTC Derivatives Trades

by Shearman & Sterling LLP on

The Financial Stability Board has launched a survey seeking feedback from financial institutions and other reporting entities on legal barriers that prevent or hinder them from reporting full transaction information on...more

Financial Services Quarterly Report - First Quarter 2018: Hong Kong SFC Publishes Consultation Proposals on Public Fund...

by Dechert LLP on

Following an initial “soft” consultation with industry participants and relevant stakeholders, the Securities and Futures Commission (SFC) launched a three-month consultation on proposed amendments to the Code on Unit Trusts...more

Financial Regulatory Developments Focus - March 2018 #4

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Investment Funds Update Europe - Legal and regulatory updates for the funds industry from the key asset management centres and...

by Dechert LLP on

AMF Public Consultation on ICOs - The AMF launched a public consultation on Initial Coin Offerings (ICOs) on 26 October 2017 in order to assess how these fundraisings could be regulated. Out of the three regulatory options...more

District Court Reaffirms Broad Reading of Bankruptcy Safe Harbors for Derivatives Transactions

by Allen & Overy LLP on

In our prior bulletin, we discussed the July 6, 2016 decision of Judge Shelly Chapman of the United States Bankruptcy Court for the Southern District of New York in In re Lehman Brothers Holdings Inc., 553 B.R. 476 (Bankr....more

Federal Judge Rules Virtual Currencies Are Commodities Under the Commodity Exchange Act

On March 6, 2018, Judge Jack B. Weinstein of the U.S. District Court for the Eastern District of New York ruled that virtual currencies are commodities under the Commodity Exchange Act (CEA) and therefore subject to the...more

Financial Regulatory Developments Focus - March 2018

by Shearman & Sterling LLP on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Investment Funds Update Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

by Dechert LLP on

BaFin Decision Regarding the Duties of Management Companies in Respect to Externally Managed Investment Companies - After a long consultation period, BaFin published its new interpretative decision on 21 December 2017...more

Derivatives In Review - February 2018

English Supreme Court Brings an End to Dexia - Prato Swap Dispute - On January 18, the English Supreme Court refused to grant Comune di Prato, an Italian local authority with responsibility for the municipality of Prato in...more

Over-the-counter derivatives in South Africa

by Dentons on

The European Markets and Infrastructure Regulations (EMIR) is a body of European Union law which came into force on 16 August 2012. During the G20 Summit held in 2009 following the 2008 financial crisis, G20 leaders agreed...more

Investment Funds Update Europe - Legal and regulatory updates for the funds industry from the key asset management centres and...

by Dechert LLP on

Implementation of MiFID - The FSMA issued on 18 July 2017 a communication (the “Communication”) on the preparation for the entry into force of the Directive 2014/65/EU on Markets in Financial Instruments (“MiFID II”). Such...more

Corporate and Financial Weekly Digest, Featuring Topics on SEC/Corporate, Broker-Dealer, Derivatives and UK/EU Developments

SEC/CORPORATE - SEC Approves NYSE Rule to Facilitate Listing Without an IPO - On February 2, the Securities and Exchange Commissions approved a New York Stock Exchange (NYSE) rule change that facilitates the listing...more

US Commodity Futures Trading Commission Fines Investment Bank for Attempted Manipulation of Benchmark Swaps Rate

by Shearman & Sterling LLP on

The US Commodity Futures Trading Commission has issued an order settling charges against the US investment arm of an international bank for attempted manipulation of the US dollar International Swaps and Derivatives...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

A look at the big-time Wells Fargo/Fed settlement of last Friday night, which saw the Fed blasting the bank’s board for oversight failures, forcing Wells to replace a full fourth of its 16-member Board, and instituting a rare...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The Fed held its last Open Markets Committee meeting under outgoing Chair Yellen, and it agreed to hold the benchmark rate in a range between 1.25% and 1.5%. Here’s the lowdown....more

A Corporate End User’s Handbook for Dodd-Frank Derivatives Compliance

by Shearman & Sterling LLP on

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), signed into law on July 21, 2010, was the largest overhaul of the U.S. derivatives market in history. While there are still a few parts of Dodd-Frank...more

CFTC Updates on Virtual Currency Regulation, Alternatives to Libor and Fallout From Brexit

In 2017, Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo made clear he will strive to improve, not abolish, many reforms the CFTC adopted to implement the Dodd-Frank Act’s mandate for new...more

The SEC’s Final Rule Regarding Price Quotes and Research Reports Relating to Security-Based Swaps

by Morrison & Foerster LLP on

This month the Securities and Exchange Commission (“SEC”) issued a final rule (the “Final Rule”) that provides that certain communications relating to security-based swaps (either singular or plural, “SBS”) will not...more

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