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15 results found

Article

Richards Kibbe & Orbe LLP | USA | 13 May 2019

The CFTC Debuts Its First Publicly Available Enforcement Manual - A Snapshot of Key Provisions and Issues

The Commodity Futures Trading Commission's ("CFTC") new Enforcement Manual ("Manual"), while codifying past practice and pronouncements, hints that

Article

Richards Kibbe & Orbe LLP | USA | 20 Feb 2018

Is the VIX Fixed? Alleged Manipulation of Wall Street’s 'Fear Gauge'

After years of steady growth, the resurgence of stock market volatility has propelled the CBOE Volatility Index, also known as the VIX or, more

Article

Richards Kibbe & Orbe LLP | USA | 24 Jan 2017

CFTC Cooperation Guidance

On January 19, 2017, the Division of Enforcement of the Commodity Futures Trading Commission ("CFTC") issued two advisories outlining cooperation

Article

Richards Kibbe & Orbe LLP | USA | 22 Feb 2016

Prepare for Uncleared Swaps Margining: What a Financial End-User Needs to Know

Six years following the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act, regulations governing margin delivery

Article

Richards Kibbe & Orbe LLP | USA | 1 Apr 2014

CFTC enforcement outlook

Gretchen L. Lowe, Acting Director of the Division of Enforcement of the U.S. Commodity Futures Trading Commission (CFTC), participated in a March 31

Article

Richards Kibbe & Orbe LLP | USA | 10 Aug 2012

An overview of Dodd-Frank’s treatment of loan-based swaps by Jennifer Grady and John Clark

After two years of uncertainty, joint final rules released by the U.S. Securities and Exchange Commission (“SEC”) and the U.S. Commodity Futures Trading Commission (“CFTC”) in July have provided important guidance for the loan market about the definitions of “swap,” “security-based swap” and other key terms underlying the new derivatives regulatory framework required by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Article

Richards Kibbe & Orbe LLP | USA | 19 Jul 2012

Clarity for loan participations under Dodd-Frank

Although the syndicated loan market was not a focus of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the legislation introduced uncertainty regarding whether loan participations would be regulated as swaps.

Article

Richards Kibbe & Orbe LLP | USA | 9 Mar 2012

Why your investment management company may soon be a CFTC-regulated entity

Until now, operators and advisors of investment vehicles that trade in listed futures contracts and commodity options (so-called commodity “pools”) have enjoyed exemption from registration with the U.S. Commodity Futures Trading Commission (“CFTC”) provided they managed pools of capital funded solely by sophisticated investors.

Article

Richards Kibbe & Orbe LLP | USA | 1 Feb 2012

CFTC adopts “legal segregation with operational commingling” model for treatment of cleared swaps collateral

A fter the failures of Lehman Brothers and MF Global, market participants should appreciate the importance of understanding the whereabouts of their collateral and all possible competing claims to that collateral regardless of whether it is posted to support commodities, swaps or futures trading, or held in custody by a prime broker or other financial institution.

Article

Richards Kibbe & Orbe LLP | USA | 5 Dec 2010

Prepare for the clearing environment

The Dodd-Frank Wall Street Reform and Consumer Protection Act represents a paradigm shift in the financial regulatory environment, introducing the most sweeping changes to financial regulation in the United States since the series of regulations passed in the wake of the Great Depression.

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