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SEC Proposes New Limits on Registered Funds’ and BDCs’ Use of Derivatives

USA - January 26 2016 On December 11, 2015, the Securities and Exchange Commission (the “SEC”) proposed a new rule 18f-4 (the “Proposed Rule”) under the Investment Company...

Peter Chen, Kenneth J. Berman, Byungkwon Lim.


CFTC Adopts Margin Rules for Non-Cleared Swaps

USA - December 30 2015 On December 16, 2015, the Commodity Futures Trading Commission (the “CFTC”) approved final rules (the “Final Rules”) to establish margin requirements...

Peter Chen, Byungkwon Lim, Emilie T. Hsu.


CFTC Proposes Rules Regulating Automated Trading

USA - December 16 2015 On November 24, 2015, the Commodity Futures Trading Commission (the “CFTC”) proposed “Regulation Automated Trading” or “Regulation AT” (the “Proposed...

Byungkwon Lim.


CFTC issues Preliminary Report on swap dealer de minimis exception

USA - November 30 2015 On November 18, 2015, the Division of Swap Dealer and Intermediary Oversight (“DSIO”) of the Commodity Futures Trading Commission (the “CFTC”) issued...

Byungkwon Lim.


Further extension of temporary no-action relief for inter-affiliate swaps

USA - November 20 2015 On November 17, 2015, the Division of Clearing and Risk ("DCR") of the Commodity Futures Trading Commission (the "CFTC") issued a time-limited...

Peter Chen, Byungkwon Lim, Emilie T. Hsu.