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Results: 1-10 of 98

Legal Alert: CFTC Amends Regulation 1.35
  • Sutherland Asbill & Brennan LLP
  • USA
  • February 3 2016

U.S. Commodity Futures Trading Commission (CFTC) Regulation 1.35 requires Futures Commission merchants (FCMs), retail foreign exchange dealers


SEC Proposes Rule Related to Use of Derivatives and Financial Commitment Transactions by Regulated Funds
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 20 2016

In December 2015, the Securities and Exchange Commission (the SEC) proposed a new Rule 18f-4 under the Investment Company Act of 1940 (the 1940 Act


Preliminary Report on the Swap Dealer De Minimis Exception
  • Sutherland Asbill & Brennan LLP
  • USA
  • December 10 2015

On November 18, the staff of the Commodity Futures Trading Commission (CFTC) issued a much anticipated report on the de minimis exception from the


SEC’s proposed SBS rules on cross-border security-based swap activities
  • Sutherland Asbill & Brennan LLP
  • USA
  • May 22 2015

When the Securities and Exchange Commission (SEC) adopted final rules in June 2014 on the cross-border activities of security-based swap (SBS


The SEC releases regulations on reporting and dissemination of security-based swaps data
  • Sutherland Asbill & Brennan LLP
  • USA
  • April 9 2015

On February 11, 2015, the Securities and Exchange Commission (SEC) published final regulations that will require Swap Data Repositories (SDRs) to


Regulators publish re-proposed margin requirements for uncleared swaps
  • Sutherland Asbill & Brennan LLP
  • USA
  • September 24 2014

On September 3, 2014, the Board of Governors of the Federal Reserve System (the Board) jointly adopted, with certain federal banking regulators,1


FinCEN customer due diligence rule proposal
  • Sutherland Asbill & Brennan LLP
  • USA
  • August 19 2014

On July 30, 2014, the U.S. Treasury Department's Financial Crimes Enforcement Network ("FinCEN") issued proposed rules (the "Proposed Rules") to


European Commission requests comments on treatment of foreign exchange instruments under EMIR
  • Sutherland Asbill & Brennan LLP
  • European Union, USA
  • April 24 2014

On February 14, 2014, the European Securities and Markets Authority (ESMA)requested that the European Commission (EC) clarify the definition of


Commodity pool operators and commodity trading advisors: are enhanced customer protections on the horizon?
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 30 2014

On January 23, 2014, the National Futures Association (NFA) issued a Request for Comments from commodity pool operators (CPOs) and commodity trading


Legal alert: update: an end-user’s guide to the CFTC’s final cross-border guidance
  • Sutherland Asbill & Brennan LLP
  • USA
  • January 21 2014

There were a number of new developments with respect to the cross-border application of the Dodd-Frank Wall Street Reform and Consumer Protection Act