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Results: 1-10 of 140

CFTC now requires CPO and CTC filings to be made electronically

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • February 8 2007

The CFTC announced that it requires the electronic filing of notices of exemption and exclusion for commodity pool operators (CPOs) and commodity trading advisors (CTAs

Regulatory

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • March 16 2007

Pursuant to its authority under Section 6(b) of the Securities Act of 1933, the SEC set a new rate of $30.70 per $1 million of sales of securities registered with the SEC

FERC stepping up enforcement efforts

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • June 1 2007

Susan Court, Director of Enforcement for the Federal Energy Regulatory Commission (FERC), and Gregory Mocek, Director of the Division of Enforcement for the Commodity Futures Trading Commission (CFTC), discussed coordinating enforcement efforts at a luncheon sponsored by the Futures Industry Association’s Law & Compliance Division on May 24, 2007 in New York City

Using the 2006 ISDA definitions is now the time?

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • July 19 2007

At the beginning of this year, the International Swaps and Derivatives Association, Inc. (“ISDA”) announced the publication of the 2006 ISDA Definitions (the “2006 Definitions”), to be used in the documentation of interest rate and currency exchange transactions

OTC counterparty credit risk in the post-Bear Stearns world

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • March 17 2008

With the announcement by JPMorgan Chase & Co. (JPMorgan) and the Federal Reserve regarding the purchase of The Bear Stearns Companies Inc. (Bear Stearns), it appears that the counterparties of Bear Stearns will now be able to look to JPMorgan to satisfy substantially all of their outstanding trading obligations

SEC and CFTC sign cooperation agreement

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • March 11 2008

The SEC and CFTC signed a mutual cooperation agreement to establish a closer working relationship between the two agencies

NSCC obtains green light for new hedge fund platform

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • June 3 2008

The National Securities Clearing Corporation (“NSCC”) is establishing a new Alternative Investment Products Service (“AIP Service”), a processing platform for alternative investment products such as hedge funds, funds of hedge funds, commodities pools, managed futures, and real estate investment trusts (“REITs”

Avoiding “documentation disadvantages” in OTC derivatives collateral valuation disputes

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 7 2009

Turbulent and illiquid markets have led to an increase in disputes between counterparties to derivatives contracts over the posting of collateral

SEC issues temporary exemption for CDS central counterparties

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 16 2009

On January 14, 2009, the Securities and Exchange Commission (SEC) issued an interim final temporary rule to facilitate the clearing and settling of credit default swaps (CDS) by central counterparty clearinghouses

Treasury Blueprint for regulatory reform

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • June 12 2008

There has been a mixed response to the Treasury’s proposal

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