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Results: 1-10 of 11,301

Financial services update October 27 2014 federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • October 27 2014

Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special


Best practices for Gramm-Leach-Bliley Compliance
  • Jackson Lewis PC
  • USA
  • March 8 2014

The U.S. Commodity Futures Trading Commission (Commission) issued a Staff Advisory on best practices for financial institutions that must comply with


CFTC to host roundtable on commodity pool operator risk management practices
  • Katten Muchin Rosenman LLP
  • USA
  • March 14 2014

Commodity Futures Trading Commission staff will host a public roundtable on March 18 to discuss risk management practices by commodity pool operators


CME group exchanges adopt revised rules regarding transfer trades and concurrent long and short positions
  • Katten Muchin Rosenman LLP
  • USA
  • March 14 2014

On March 10, a self-certified rule change related to transfer trades and concurrent long and short positions submitted by the Chicago Mercantile


Joint Audit Committee adopts template acknowledgment letters
  • Katten Muchin Rosenman LLP
  • USA
  • March 14 2014

On March 12, the Joint Audit Committee issued a regulatory alert and revised templates for segregated, secured and cleared swap customer


Swap data reporting by end-users
  • Debevoise & Plimpton LLP
  • USA
  • March 28 2013

April 10, 2013 is the current date on which "end-users"swap counterparties that are not swap dealers or major swap participantsare


CFTC fines, temporarily bans traders for attempted manipulation
  • Dorsey & Whitney LLP
  • USA
  • November 25 2013

The newly empowered CFTC has been bringing an increasing number of market manipulations cases. Last month, for example, the agency teamed with the


Understanding the CFTC customer protection rules: a guide for customers
  • Reed Smith LLP
  • USA
  • February 19 2014

Every customer of a futures commission merchant (or "FCM") should become familiar with the series of "customer protection rules" finalized by the


How commodity regulations impact private equity fund managers
  • Chadbourne & Parke LLP
  • USA
  • June 16 2014

If you are a private equity fund manager advising a fund that uses derivatives to hedge foreign exchange or interest rate risks, regulations of the U


NFA sets implementation deadline for phase 1 of customer segregated funds reporting
  • Katten Muchin Rosenman LLP
  • USA
  • February 1 2013

The National Futures Association (NFA) recently amended Section 4 of its Financial Requirements to require futures commission merchants (FCMs) that