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CFTC Chairman Giancarlo's White Paper: Cross-Border Swaps Regulation 2.0

USA - October 12 2018 On October 1, 2018, the Chairman of the U.S. Commodity Futures Trading Commission (CFTC) published a long-awaited white paper titled “Cross-Border...

Azad Assadipour, Elizabeth M. Schubert, Ellen P. Pesch, Michael S. Sackheim, William Shirley.


One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person

USA - September 18 2018 On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of...

Lilya Tessler, Verity A. Van Tassel Richards, Daniel Engoren.


National Futures Association Creates New Disclosure Requirements for Members Engaging in Virtual Currency Activities

USA - August 23 2018 Effective Oct. 31, National Futures Association (NFA) members engaging in virtual currency activities will be subject to new NFA disclosure...

James B. Biery, Geoffrey F. Aronow, James C. Munsell, Michael S. Sackheim.


CFTC Proposes Rules to Simplify Process for Non-U.S. Clearing Organizations to Obtain DCO Registration Exemption

USA - August 23 2018 The Commodity Futures Trading Commission (CFTC) has issued a notice of proposed rulemaking (NPR) proposing to codify the CFTC’s existing policies and...

Geoffrey F. Aronow, Victoria A. Anglin, Michael S. Sackheim, Kenneth A. Kopelman.


Initial Margin Requirements on the Horizon: FAQs for Buy Side Firms

USA, Global - July 31 2018 The regulatory requirements for posting and collecting initial margin (IM) currently apply principally to the uncleared over-the-counter (OTC)...

Leonard Ng, Matthew Dening, Elizabeth M. Schubert, Michael S. Sackheim, Michele Navazio.