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Swap APs exempt from Branch Office Manager Series 30 Examination requirement effective January 3, 2022

USA - December 22 2021 On Monday, November 27, 2021, the National Futures Association (NFA) submitted to the CFTC proposed amendments to NFA Compliance Rule 2-7 to exclude…

Nana Y. Amoo, Raymond A. Ramirez

Preparing for compliance with Phase 6 of initial margin: lessons learned from Phase 5

USA - April 28 2021 The requirement to exchange initial margin (i.e., assets posted to a counterparty to cover potential future exposure) in respect of over-the-counter…

James M. Cain, Raymond A. Ramirez, Christopher Soares, Lizet Steele

FINRA delays implementation of amendments to FINRA Rule 4210 to October 26, 2021

USA - January 11 2021 The Financial Industry Regulatory Authority, Inc. (FINRA) filed a proposed rule change with the Securities and Exchange Commission (SEC) on December…

James M. Cain, Raymond A. Ramirez, Christopher Soares, Lizet Steele

Legal Alert: Coronavirus — Deferral of Phases 5 and 6 of initial margin requirements for uncleared OTC derivatives recommended by BCBS and IOSCO

Global - April 7 2020 On April 3, 2020, the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO) issued a…

Richard Batchelor, James M. Cain, Paul Denham, Jonathan Master, Raymond A. Ramirez, Lizet Steele

Webcast: Issues raised by the COVID-19 pandemic for the derivatives market

USA - March 31 2020 Members of the Eversheds Sutherland derivatives team will address the impact of the COVID-19 pandemic on the global derivatives market: Whether and…

James M. Cain, Alexander S. Holtan, Raymond A. Ramirez