News & Analysis as of

Dodd-Frank Wall Street Reform and Consumer Protection Act Derivatives Compliance

The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and... more +
The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and includes broad reforms related to many aspects of the financial and banking industry. Notable sections of the Act include stricter regulations of the derivatives market, as well as the Volcker Rule, which restricts the trading practices of FDIC-insured institutions.    less -

The Delta Report: Regulators begin Volcker Rule review, signaling potential for needed clarifications

by White & Case LLP on

Broadly, the Volcker Rule prevents insured depository institutions, their parent holding companies and foreign banks that have US subsidiary banks or US banking offices, as well as the affiliates or subsidiaries of any of the...more

A step closer - The SEC still has some work to do to finalise its framework for SBS dealer registration but firms are already...

by Morrison & Foerster LLP on

More than six years after the enactment of the Dodd-Frank Act, and more than three years after the US Commodity Futures Trading Commission (CTFC) required swap dealers to register in accordance with Title VII of that Act, it...more

SEC to Recommend Additional Compliance Rules for Investment Advisers

by Foley Hoag LLP on

David W. Grim, Director of the SEC’s Division of Investment Management (the “Division”), recently noted in testimony before a U.S. House of Representatives subcommittee that the Division is developing new rule recommendations...more

Glossary of Important Securities Regulation Terms and Definitions

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

Dodd-Frank at 4: Where do we go from here?

by Morrison & Foerster LLP on

Where do we go from here? As we mark another milestone in regulatory reform with the fourth anniversary of the enactment of the Dodd-Frank Act, it strikes us that although most studies required to be undertaken by the Act...more

Financial Regulatory Developments Focus - November 2014 #2

by Shearman & Sterling LLP on

In this issue: - Bank Prudential Regulation & Regulatory Capital - Compensation - Consumer Protection - Derivatives - Enforcement - Financial Services - Funds -...more

The Financial Report, Volume 3, Number 18 (Global)

by DLA Piper on

Discussion and Analysis - Last Tuesday, the United States District Court for the District of Columbia mostly upheld the Commodity Futures Trading Commission’s authority to regulate cross-border derivatives trading. The...more

The New 2014 ISDA Credit Derivatives Definitions

by Latham & Watkins LLP on

The revision of the 2003 International Swaps and Derivatives Association (ISDA) Credit Derivatives Definitions is likely the biggest overhaul of the definitions in more than a decade. The new 2014 ISDA Credit Derivatives...more

SEC Finalizes Partial Framework for the Cross-Border Application of its Derivatives Regulations

by Latham & Watkins LLP on

The SEC Final Rule is the SEC’s first major step toward implementing its final regulatory regime under Title VII of the Dodd-Frank Act. On June 25, 2014, the Securities and Exchange Commission (SEC) approved a final...more

Updated: CFTC FORM 40/40S Reporting Requirements

by Latham & Watkins LLP on

Note: This version includes an additional section on cross-border considerations. Significant amendments to the CFTC’s large trader reporting program will apply as of August 15, 2014. The U.S. Commodity...more

The Financial Report - Volume 3, No. 1 • January 2014 (Global)

by DLA Piper on

Invariably, the end of a calendar year brings “year-in-review” retrospectives on topics both major and mundane. Similarly, the start of a new calendar year is always accompanied by predictions and forecasts for the ensuing 12...more

Summary of the Volcker Rule

by Foley & Lardner LLP on

On December 10, 2013, the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission, and the Commodity...more

The Financial Report - Volume 2, No. 22 • December 12, 2013 (Global)

by DLA Piper on

OSC to hold derivatives reporting seminar. The Ontario Securities Commission announced that it will hold a seminar on January 15, 2014, on the reporting requirements under the new Derivatives Trade Repositories and...more

"EU Derivatives Trade Reporting Obligations to Begin on February 12, 2014"

Starting February 12, 2014, the European Market Infrastructure Regulation (EMIR) will require EU-counterparties to all derivative contracts, whether traded on or off exchange, to report certain trade information and details...more

CFTC Adopts Final Cross Border Swaps Guidance

by Ropes & Gray LLP on

On Friday, the U.S. Commodity Futures Trading Commission (the “CFTC”) adopted final guidance regarding the cross border application of the new derivatives requirements under the Dodd-Frank Wall Street Reform and Consumer...more

Derivatives Transaction Reporting: What do Singapore’s proposals mean for firms regulated elsewhere?

by Reed Smith on

The Monetary Authority of Singapore (MAS) has recently published a consultation paper setting out its proposals for transaction reporting requirements (the Securities and Futures (Reporting of Derivatives Contracts)...more

SEC Adopts Conflicts Minerals Rule

by Cohen & Grigsby, P.C on

The Securities and Exchange Commission has adopted rules pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the use of conflict minerals. Section 1502 was enacted because of...more

Insights Special Edition: "Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals"

Dear Clients and Friends: In October, federal agencies proposed two new sets of regulations under the Dodd-Frank Act. The proposals — to implement the Volcker Rule and to create standards to designate certain nonbanks...more

"Insights Special Edition: Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals: Proprietary Trading Restrictions Under the...

Finance industry participants have expressed concern over the burden of complying with the proprietary trading restrictions in the Volcker Rule and the potential effects of those restrictions on the competitiveness of U.S....more

Dodd-Frank Financial Reform: Potential Impacts to ISDA and Other Trading Contracts

by Jackson Walker on

Discussion Topics •General Overview of the Dodd-Frank Act •Title VII of the Dodd Frank Act: Impact on OTC Derivatives and Energy Trading •Definitions and applicability •Mandatory clearing •Registration...more

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