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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, Aaron J. Levy.


CFTC Proposes Rules Providing an Alternative to Fingerprinting for Foreign Natural Persons

USA - January 8 2016 On January 4, the Commodity Futures Trading Commission (the "CFTC") proposed rules (the "Proposed Rules") to amend existing CFTC regulations to...

Peter Chen, Emilie T. Hsu.


CFTC Responds to Frequently Asked Questions Regarding Forms CPO-PQR and CTA-PR

USA - January 5 2016 Recently, the Commodity Futures Trading Commission (“CFTC”) Division of Swap Dealer and Intermediary Oversight (“DSIO”) issued responses to...

Michael J. Decker, Gary E. Murphy.


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, Emilie T. Hsu, Aaron J. Levy.


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...

Aaron J. Levy.