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Results:1-10 of 433

CFTC’s Office of the Chief Economist Issues Report on Initial Margin Phase 5
  • Katten Muchin Rosenman LLP
  • USA
  • November 2 2018

On October 31, the Commodity Futures Trading Commission’s Office of the Chief Economist issued a report on “Phase 5” of the uncleared margin rules


CFTC Proposes Amendments to Swap Dealer De Minimis Exception: CFTC Proposes Rule to Amend the De Minimis Exception to the Definition of “Swap Dealer” and Requests Comments Regarding Further Potential Changes
  • Sullivan & Cromwell LLP
  • USA
  • June 12 2018

On June 4, 2018, the Commodity Futures Trading Commission voted 2-1, along party lines, to propose a rule (the "Proposed Rule") amending the


Bitcoin Futures Trading Commences; Implications for Funds and Registered CPOs and CTAs
  • Dechert LLP
  • USA
  • December 19 2017

The Chicago Mercantile Exchange (CME) and the CBOE Futures Exchange (CFE) on December 1, 2017 self-certified contracts for bitcoin futures products


Treasury Department Urges PrinciplesBased Regulation of Money Managers; Delay of Implementation of Liquidity Risk Management and Fiduciary Rules
  • Morrison & Foerster LLP
  • USA
  • October 31 2017

The U.S. Department of the Treasury's report on asset management and insurance recommends, among other things, a delay in implementation of the SEC's


Implementing EMIR's variation margin obligations for uncleared derivatives
  • Dillon Eustace
  • USA, United Kingdom, European Union, Ireland
  • February 23 2017

As the clock ticks down towards the 1st March 2017 deadline for implementing the EMIR variation margin exchange requirements, we recap on the main


CFTC Permits Unaudited Financial Statements Upon Liquidation of a Series of a Pool That is Also a Registered Investment Company
  • K&L Gates
  • USA
  • February 6 2017

The Commodity Futures Trading Commission (“CFTC” or “Commission”) has provided general exemptive relief to persons registered as commodity pool


Canadian Regulators Finalize Mandatory OTC Derivatives Clearing Rules
  • Blake Cassels & Graydon LLP
  • USA, Canada
  • January 26 2017

On January 19, 2017, the Canadian Securities Administrators (CSA) published National Instrument 94-101 - Mandatory Central Counterparty Clearing of


Exchanges Adopt Generic Listing Standards for Actively Managed ETFs
  • K&L Gates
  • USA
  • November 18 2016

Earlier this year, the Securities and Exchange Commission (“SEC”) approved new rules Proposed by Bats BZX Exchange, Inc. (“Bats”) and NYSE Arca, Inc


Now too late to say it is too early. Australian derivatives margin rules finalised
  • King & Wood Mallesons
  • Australia
  • October 18 2016

The Australian Prudential Regulation Authority (APRA) has released the final rules which will impose margin and risk mitigation requirements on


The SEC Adopts Amendments to Form ADV and Recordkeeping Rule: Advisers Now Required to Disclose Information About Separately Managed Accounts
  • Morrison & Foerster LLP
  • USA
  • September 1 2016

The Securities and Exchange Commission (SEC) recently amended Form ADV to require investment advisers to disclose more information about their