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Basel Committee and IOSCO Suggest Delay in Final Implementation Phases of Margin Requirements for Non-Centrally Cleared Derivatives

Global, USA - April 22 2020 On 3 April 2020, the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO) announced…

Peter J. Green, Jeremy C. Jennings-Mares

CFTC Issues No-Action Letters to Smooth the Road Away from the IBORs

United Kingdom, USA - January 23 2020 On December 17, 2019, three different divisions of the Commodity Futures Trading Commission (“CFTC”) issued no-action letters intended to facilitate…

Regulators propose delay in initial margin phase-in for swaps with certain financial end users

USA - November 26 2019 In recent weeks both the Commodity Futures Trading Commission (CFTC) and the U.S. prudential banking regulators have proposed rules that would delay…

Lloyd S. Harmetz, Yiyang Huang, Jeremy C. Jennings-Mares, Clara Wong

SEC charges Switzerland-based dealer for selling to U.S. investors unregistered security-based swaps for Bitcoins

USA - November 26 2019 In October, the SEC charged a Switzerland-based securities dealer for offering and selling unregistered security-based swaps to U.S. investors using…

Lloyd S. Harmetz, Yiyang Huang, Jeremy C. Jennings-Mares, Clara Wong

FINRA: suitability and sales practices remain an issue

USA - November 26 2019 In October 2019, FINRA released its "2019 Report on Examination Findings and Observations." The report is intended to reflect key findings and…

Lloyd S. Harmetz, Yiyang Huang, Jeremy C. Jennings-Mares, Clara Wong