News & Analysis as of

Derivatives Commodities Futures Trading Commission Due Diligence

K&L Gates LLP

NFA Proposes Guidance on Diligent Supervision of Associated Persons

K&L Gates LLP on

UPDATE: On 1 May 2025, NFA withdrew Interpretive Notice 9083. The guidance remains available on NFA’s website for industry participants’ review....more

WilmerHale

Strategic Considerations for Transactions Involving CFTC-Registered Entities

WilmerHale on

With the Presidential and Congressional transitions taking place this month, we expect increased investment and transactional activity in capital markets. This will likely include trading platforms, exchanges, clearinghouses,...more

Pillsbury Winthrop Shaw Pittman LLP

Meeting New OTC Swap Reconciliation Rules May Require Better Technology and Processes

Although reconciliation of the key terms has been a best practice for over-the-counter derivative trades for some time (particularly with collateralised trades), the scale of the reconciliation exercise imposed by forthcoming...more

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