News & Analysis as of

Swaps

Katten Muchin Rosenman LLP

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

by Katten Muchin Rosenman LLP on

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

Orrick - Structured Finance Group

CFTC Approves a Final Rule to Amend Uncleared Swap Margin Requirements

On November 19, the Commodity Futures Trading Commission (“CFTC”) announced that it approved a final rule to amend its uncleared swap margin requirements to better align with certain rules adopted by the Board of Governors of...more

Eversheds Sutherland (US) LLP

Federal judge finds in favor of defendants Donald Wilson and DRW Investments, LLC in market manipulation case brought by the CFTC

On November 30, 2018, nearly two years after the trial concluded, the US District Court for the Southern District of New York found in favor of Defendants Donald R. Wilson (Wilson) and his derivatives trading firm DRW...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Smart Contracts, Updates to Uncleared Swap Margin Requirements and...

by Katten Muchin Rosenman LLP on

CFTC - CFTC’s LabCFTC Releases Primer on Smart Contracts - On November 27, the Commodity Futures Trading Commission’s LabCFTC released “A CFTC Primer on Smart Contracts” to provide information on a variety of financial...more

White & Case LLP

CFTC Chairman Authors White Paper on Cross Border Swaps Regulation Version 2.0

by White & Case LLP on

CFTC Chairman publishes white paper outlining principles and recommendations to improve the CFTC’s existing cross-border regulatory framework....more

Eversheds Sutherland (US) LLP

CFTC permanently fixes the swap dealing de minimis exemption threshold at $8 billion

On November 5, 2018, the Commodity Futures Trading Commission (CFTC) unanimously adopted a final rule to set a permanent $8 billion swap dealing activity threshold for purposes of the swap dealer de minimis exemption (Final...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

Skadden, Arps, Slate, Meagher & Flom LLP

CFTC Adopts Permanent $8 Billion Threshold for Swap Dealer De Minimis Exception

On November 5, 2018, the Commodity Futures Trading Commission (CFTC) voted 5-0 to approve a final rule amending the swap dealer registration trigger or activity threshold. The amendments — which became effective on November...more

Orrick - Structured Finance Group

SEC Issues Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based...

On October 31, the Securities Exchange Commission (“SEC“) issued a statement setting forth its position, for a limited time, that certain actions with respect to specific provisions of its Business Conduct Standards for...more

Allen & Overy LLP

CFTC Chairman Giancarlo White Paper: Cross-Border Swaps Regulation Version 2.0

by Allen & Overy LLP on

On Monday, October 1, Chairman of the Commodity Futures Trading Commission (the CFTC) J. Christopher Giancarlo released Cross-Border Swaps Regulation Version 2.0, a white paper (the White Paper) which calls for dramatic...more

K&L Gates LLP

CFTC Proposes to Codify Relief for CPOs and CTAs

by K&L Gates LLP on

Introduction - The U.S. Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing amendments to its regulations governing commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) to codify...more

Shearman & Sterling LLP

Securities and Exchange Commission Reopens Comment Period on Capital, Margin and Segregation Requirements for Security-Based Swap...

by Shearman & Sterling LLP on

The U.S. Securities and Exchange Commission has voted to reopen the comment period and request additional comments on proposals for capital, margin and segregation requirements for security-based swap dealers (SBSDs) and...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on the SEC Taking Another Look At Security-Based Swap Rules and UK...

by Katten Muchin Rosenman LLP on

DERIVATIVES - SEC Reopens Comment Period for Unfinished Security-Based Swap Rules - On October 11, the Securities and Exchange Commission demonstrated renewed interest in completing the regulatory regime for...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on CFTC Proposed CPO and CTA Regulations, Brexit Statutory Instruments and...

by Katten Muchin Rosenman LLP on

CFTC - CFTC Approves Proposed Regulations for CPOs and CTAs - On October 9, the Commodity Futures Trading Commission approved proposed rules intended to simplify regulations for commodity pool operators (CPOs) and...more

Goodwin

A Second Federal Court Decides Virtual Currencies are Commodities Subject to Federal Regulation

by Goodwin on

On September 26, 2018, a federal judge in Massachusetts agreed with the Commodity Futures Trading Commission’s (“CFTC”) view that virtual currencies are commodities under the Commodity Exchange Act (“CEA”) and subject to...more

Cadwalader, Wickersham & Taft LLP

Definitely Maybe? The SEC Returns to Security-Based Swap Dealer Regulation

The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) was signed into law eight years ago. ...more

Akin Gump Strauss Hauer & Feld LLP

U.S. Withholding Tax and Reporting Action Items for Investment Funds and Asset Managers (Fall 2018)

• Foreign Investor Forms W-8: An update of Forms W-8 on file for non-U.S. investors is generally recommended by December 31, 2018 to ensure that a date of birth (DOB) and non-U.S. taxpayer identification number (Foreign TIN)...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on CA Law on Female Board Representation, Cross-Border Swaps Regulation,...

by Katten Muchin Rosenman LLP on

SEC/CORPORATE - California Adopts Law Regarding Female Representation on Boards of Directors of Publicly Held Companies - On September 30, California Governor Jerry Brown signed into law California Senate Bill 826 (SB...more

Shearman & Sterling LLP

US Prudential Regulators Amend Swap Margin Rule to Reflect QFC Stay Requirements

by Shearman & Sterling LLP on

The Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Farm Credit Administration and the Federal Housing Finance Agency (together,...more

Orrick - Structured Finance Group

Agencies Approve Amendments to Swap Margin Rule

On September 21, the Farm Credit Administration, the FDIC, the Federal Housing Finance Agency, the Federal Reserve and the OCC approved final amendments to swap margin requirements to conform with recent rule changes that...more

Skadden, Arps, Slate, Meagher & Flom LLP

Recent Court Decisions Shine Spotlight on Scope of CFTC’s Dodd-Frank Anti-Fraud and Anti-Manipulation Enforcement Authority

Recent federal court decisions, and a pending appeal in the Ninth Circuit, highlight disagreement among the courts as to the scope of the Commodity Futures Trading Commission’s (CFTC) anti-fraud and anti-manipulation...more

Allen & Overy LLP

English court’s jurisdiction over Italian swaps dispute confirmed

by Allen & Overy LLP on

The Court of Appeal dismissed an Italian local authority’s challenge to the English court’s jurisdiction over declarations sought by a bank pursuant to an English law governed swaps contract. In this important decision...more

Jones Day

SIDRU Judgment: Hedging Transaction Not Rendered Speculative Even if It Exposes Party to Unlimited Risk

by Jones Day on

The Context: In the wake of the Saint-Leu-la-Forêt decision of May 28, 2018, France's Court of Cassation issued an important decision on structured swaps concerning legal actions brought by public authorities against banks...more

Akin Gump Strauss Hauer & Feld LLP

U.S. Withholding on Synthetic Trades over U.S. Equities – Additional Delay of Full Implementation until 2021 (Notice 2018-72)

• The broader application of Section 871(m) has been delayed further until January 1, 2021 and, as a result, investment funds with non-U.S. feeders or investors up the chain should generally expect to incur U.S. withholding...more

Robins Kaplan LLP

Your Daily Dose of Financial News

by Robins Kaplan LLP on

China is answering the White House’s latest tariff announcement with another $60 billion in levies on US goods of its own....more

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