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Results:1-10 of 16

Swap users take note: March 2013 DF Protocol deadline is July 1, 2013
  • Foley Hoag LLP
  • USA
  • June 25 2013

Investment advisers with clients (including funds or separate accounts) that use swaps are reminded to have such clients sign up to the ISDA March


SEC and CFTC jointly adopt identity theft red flags rules applicable to investment advisers and others
  • Foley Hoag LLP
  • USA
  • May 28 2013

On April 10, 2013, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly adopted identity theft


DF protocol deadline is May 1, 2013
  • Foley Hoag LLP
  • USA
  • April 2 2013

Managers of funds and separately managed accounts that use swaps are reminded that they (or their clients) must complete the DF Protocol Adherence


Reminder: deadline for obtaining CFTC interim compliance identifier for parties trading in swaps
  • Foley Hoag LLP
  • USA
  • March 22 2013

On March 15, 2013, the Commodity Futures Trading Commission's Division of Market Oversight and Office of Data and Technology issued an advisory


Extended compliance deadlines for clearing of iTraxx CDS indices
  • Foley Hoag LLP
  • USA, European Union
  • March 8 2013

As a follow up to our earlier Foley Adviser, the compliance deadlines have been extended for mandatory clearing of European iTraxx credit default


Reminder: upcoming deadlines for clearing requirements for certain swaps
  • Foley Hoag LLP
  • USA
  • March 4 2013

Investment managers who use swaps on behalf of their clients (including funds) are reminded that the phase-in for mandatory clearing of certain types


CFTC 4.13(a)(3) annual affirmations due by March 1st
  • Foley Hoag LLP
  • USA
  • February 25 2013

As a reminder, fund managers relying on the exemption from registration with the U.S. Commodity Futures Trading Commission (the "CFTC") set forth in


Important dates and reminders for investment management advisers, exempt reporting advisers, commodity trading advisors and commodity pool operators
  • Foley Hoag LLP
  • USA
  • January 25 2013

All investment advisers registered with the Securities and Exchange Commission (“SEC”) are required to review their compliance policies and procedures


Recent CFTC changes and looming deadlines
  • Foley Hoag LLP
  • USA
  • November 16 2012

Investment managers who invest in futures or swaps are reminded that important registration andor filing deadlines with the U.S. Commodity Futures Trading Commission (the “CFTC”) are quickly approaching.


CFTC repeals Rule 4.13(a)(4) exemption from registration and amends Rule 4.13(a)(3)
  • Foley Hoag LLP
  • USA
  • April 19 2012

As noted in our earlier client alert, the U.S. Commodity Futures Trading Commission (the “CFTC”) recently adopted a final rule that, among other changes, rescinds the exemption from registration currently available under CFTC Rule 4.13(a)(4).