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Results: 1-10 of 85

Hedge fund and its partner and lawyer fail on motion to dismiss for breach of fiduciary duty

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 5 2014

A case against a hedge fund, and one of its partners and in-house counsel, related to actions at a portfolio company and alleging breach of fiduciary

SEC proposes communications exemption for certain security based swaps

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • September 8 2014

The Dodd-Frank Act amended the Securities Act of 1933 and the Securities Exchange Act of 1934 to include "security-based swaps" in the definition of

CFTC eliminates barrier to hedge funds using JOBS Act general solicitation

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • September 9 2014

Many hedge funds have been reluctant to use general solicitation to offer securities because of the possibility it would be inconsistent from

Bank regulators propose relaxed margin requirements for corporate end users of uncleared swaps

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • September 9 2014

Five federal agencies have taken a second stab at a proposed rule to establish margin requirements for swap dealers, major swap participants

Meet your swap dealer

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • March 2 2012

The CFTC has adopted final rules regarding business conduct standards for swap dealers

CFTC issues proposed rules on financial resource requirements for DCOs and SIDCOs and conflicts of interest

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 3 2010

On October 1, 2010, the CFTC issued proposed rules on financial resource requirements for derivative clearing organizations ("DCOs") and systematically important DCOs ("SIDCOs"

CFTC issues first provisional registration for a swap data repository

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • June 28 2012

The CFTC has approved the first provisional registration for a swap data repository pursuant to section 21 of the Commodity Exchange Act and section 49.3(b) of the CFTC’s regulations

CFTC proposes rules on process for review of swaps for mandatory clearing

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 27 2010

Section 723(a)(3) of the Dodd-Frank Act amends the Commodity Exchange Act ("CEA") to provide that "it shall be unlawful for any person to engage in a swap unless that person submits such swap for clearing to a derivatives clearing organization, or DCO, that is registered under the CEA or a DCO that is exempt from registration under the CEA if the swap is required to be cleared

CFTC reminds all swap counterparties of April 10 deadline to obtain a CICI identifier

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • March 20 2013

The Division of Market Oversight, or DMO, and Office of Data and Technology, or ODT of the CFTC have issued an advisory reminding all swap

CFTC provides no-action relief to swap dealers and major swap participants regarding certain recordkeeping obligations

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 29 2012

The CFTC has provided time-limited no-action relief for swap dealers, or SDs, and major swap participants, or MSPs, concerning certain recordkeeping obligations under Part 23 of the CFTC’s regulations