News & Analysis as of

Swap Execution Facilities

Jones Day

The CFTC Proposes "Guidance" for Derivatives Markets on Listing Voluntary Carbon Credit Derivatives

Jones Day on

In Short - The Background: As voluntary carbon credits ("VCCs") have grown in popularity, questions about their integrity and quality have arisen for investors and among regulators and lawmakers. For this reason, many have...more

Jones Day

CFTC Staff Advisory Warns That SEF Prime Brokerage Arrangements Might Require DCO Registration

Jones Day on

This advisory is the latest Commodity Futures Trading Commission ("Commission" or "CFTC") staff action conveying a Commission or staff view that CFTC registrants conducting business in nontraditional ways may need to register...more

Cadwalader, Wickersham & Taft LLP

Risks Associated with Clearing Digital Assets

On May 30, 2023, the Division of Clearing and Risk (“DCR”) of the Commodity Futures Trading Commission (“CFTC”) issued an advisory (“05/30/23 DCO Advisory”) relating to registered, or those seeking to register as, derivatives...more

Cole Schotz

Cryptocurrencies And The Commodity Futures Trading Commission

Cole Schotz on

As previously discussed, there are quite a few regulatory schemes surrounding Digital Assets and Cryptocurrencies. In addition to the FinCen Rulings, each State has its own regulations. The Internal Revenue Service (“IRS”)...more

Moore & Van Allen PLLC

CFTC's first release in SOFR First Transition Initiative series on LIBOR and SOFR swaps

Moore & Van Allen PLLC on

In a press release on June 8th, the Commodity Futures Trading Commission (the “CFTC”) published its first release in a series called the “SOFR First Transition Initiative” as a best practice. One goal for this sort of “best...more

Orrick - Finance 20/20

CFTC Approves Final Rules Relating to DCMs, SEFs and Margin Requirements for Uncleared Swaps

Orrick - Finance 20/20 on

On December 8, the CFTC approved a number of final rules, including (i) amendments requiring designated contract markets (DCMs) to implement certain risk controls relating to market disruptions caused by electronic trading,...more

Orrick - Finance 20/20

CFTC Unanimously Approves Final Rule Amending Swap Execution Facility Requirements

Orrick - Finance 20/20 on

On November 18, the CFTC unanimously approved a final rule amending certain parts of its regulations relating to the execution of “package transactions” on swap execution facilities (SEFs) and the resolution of error trades...more

Pillsbury Winthrop Shaw Pittman LLP

BitMEX Faces Civil and Criminal Charges over Alleged CEA and AML Violations

BitMEX, a Seychelles-based centralized exchange for trading derivatives on bitcoin, ether and litecoin, and certain of its executives have been charged with a number of violations under the U.S. Commodity Exchange Act (CEA),...more

Perkins Coie

Blockchain Week in Review - September 2020 #2

Perkins Coie on

U.S. Developments - Federal and State Regulatory Developments - U.S. Department of Homeland Security Issues Challenge for Development of Trusted User Interface for Digital Wallets - The U.S. Department of Homeland Security...more

WilmerHale

Coronavirus COVID 19 CFTC and NFA Issue Relief and Guidance

WilmerHale on

The Commodity Futures Trading Commission (CFTC or Commission) has issued a series of eight staff letters which will facilitate the functioning of the derivatives markets during the COVID-19 pandemic. These actions will assist...more

Latham & Watkins LLP

CFTC Issues No-Action Relief for Derivatives Market IBOR Transition

Latham & Watkins LLP on

While not unlimited, the relief is welcome for counterparties seeking to transition to risk-free rates for legacy swaps. The US Commodity Futures Trading Commission (CFTC) has issued no-action relief to help market...more

A&O Shearman

US Commodity Futures Trading Commission Issues No-Action Letters to Ensure Continued Relief and Substituted Compliance for U.K....

A&O Shearman on

The Commodity Futures Trading Commission has issued two no-action letters to ensure that existing regulatory relief and substituted compliance measures for EU firms will continue to apply to U.K. firms following the U.K.’s...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on the SEC's New Framework for Cryptocurrencies and Fresh Guidance From...

BROKER-DEALER - Nasdaq Proposes Rule Change to SEC to Assume Operational Responsibility for Certain Investigation and Enforcement Functions Currently Performed by FINRA - On April 3, the Securities and Exchange...more

Kramer Levin Naftalis & Frankel LLP

CFTC Divisions Release 2019 Enforcement Priorities

In a regulatory first, the Commodity Futures Trading Commission (CFTC) announced its 2019 examination priorities for registrants of the Division of Market Oversight (DMO), the Division of Swap Dealer and Intermediary...more

WilmerHale

CFTC Announces Examination Priorities for 2019

WilmerHale on

On February 12, 2019, the Commodity Futures Trading Commission (CFTC or Commission) published for the first time its examination priorities for the coming year. The release of the priorities will provide legal and compliance...more

A&O Shearman

CFTC Divisions Outline Examination Priorities for 2019

A&O Shearman on

On February 12, 2019, the Commodity Futures Trading Commission (CFTC) published the 2019 examination priorities for its Division of Market Oversight (DMO), Division of Swap Dealer & Intermediary Oversight (DSIO) and Division...more

A&O Shearman

CFTC Considers Revamp of SEF Regulatory Framework

A&O Shearman on

Toward the end of 2018, the Commodity Futures Trading Commission (CFTC) proposed significant revisions to the framework governing swap trading through swap execution facilities (SEFs) and designated contract markets (DCMs)....more

WilmerHale

2018 CFTC Year-In-Review

WilmerHale on

For the Commodity Futures Trading Commission (CFTC or Commission), 2018 was characterized by (1) an active enforcement program emphasizing cooperation and self-reporting, (2) increasing cross-border tension over supervision...more

WilmerHale

CFTC Proposes Sweeping Changes to Swap Execution Facilities and Trade Execution Requirement

WilmerHale on

The Commodity Futures Trading Commission (CFTC or Commission) on November 5, 2018, in a 4-1 vote, proposed to fundamentally redesign the regulatory framework governing swap execution facilities (“SEFs”) and the trade...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on the Nasdaq Rule, Swaps, Brexit, and UK Securitization Regulations

BROKER-DEALER - FINRA Proposes Rule Change Relating to Rule 4512 (Customer Account Information) On November 28, the Financial Industry Regulatory Authority filed a proposed change to Rule 4512(a)(3) (Customer Account...more

Skadden, Arps, Slate, Meagher & Flom LLP

CFTC Proposes Swap Execution Facility Rule Amendments and Seeks Comments on Post-Trade Name Give-Up

On November 5, 2018, the Commodity Futures Trading Commission (CFTC or Commission) held its first open meeting with five commissioners since May 2013. At that meeting, the Commission approved (by a 4-1 vote) proposed...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Swaps, Brexit, EEA Passport Rights and MLD4

EU /BREXIT DEVELOPMENTS - EEA Passport Rights Regulations 2018 Published - On November 7, the European Economic Area (EEA) Passport Rights (Amendment, etc., and Transitional Provisions) (EU Exit) Regulations 2018...more

A&O Shearman

CFTC Approves Exemption from SEF Registration Requirement for Multilateral Trading Facilities and Organized Trading Facilities...

A&O Shearman on

SPEED READ - The Commodity Futures Trading Commission (CFTC) announced on December 8, 2017 that it is exempting certain "multilateral trading facilities" (MTFs) and "organised trading facilities" (OTFs) regulated in the...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest, Featuring Topics on Derivatives; CFTC; UK and EU Developments

CFTC - CFTC Approves Exemption From SEF Registration Requirements for Multilateral Trading Facilities and Organized Trading Facilities Authorized Within the EU - On December 8, in response to a request by the European...more

Orrick - Finance 20/20

CFTC Division of Market Oversight Issues No-Action Relief from Certain Timing Requirements Regarding SEF Chief Compliance Officer...

Orrick - Finance 20/20 on

On November 20, 2017, the Commodity Futures Trading Commission (“CFTC“) provided “no-action relief to swap execution facilities [] from the timing requirement within CFTC regulation 37.1501(f)(2), which requires a chief...more

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