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Baker McKenzie | USA, Singapore, European Union | 10 Apr 2019

Mutual Recognition for Singapore and US, EU Derivatives Trading Venues

Exercising its powers under the Securities and Futures Act (SFA), the Monetary Authority of Singapore (MAS) recently passed the: to respectively


Kilpatrick Townsend & Stockton LLP | USA | 8 Feb 2018

SEC Chairman Clayton’s Remarks on Remaining Dodd-Frank Mandates

By Paul Foley, John I. Sanders, and Lauren Henderson On January 22, 2018, SEC Chairman Jay Clayton gave the opening remarks at the Securities


Sidley Austin LLP | USA, Global, Hong Kong | 16 Nov 2017

Derivatives Quarterly Newsletter: 3rd Quarter 2017

On July 6, 2017, the CFTC issued an order to LedgerX LLC (LedgerX), granting it registration as a SEF (SEF Order). In addition, on July 24, 2017


McCann FitzGerald | Ireland | 26 May 2017

Summer-Time Tasks for Fund Managers

June and July will see two new regulatory requirements becoming applicable to certain fund managers, namely, the requirements to: put in place an


Sidley Austin LLP | USA | 15 May 2017

CFTC Proposes Amendment to Responsibilities and Reporting Requirements of Chief Compliance Officers of Swap Dealers, Major Swap Participants and Futures Commission Merchants

On May 3, 2017, the Commodity Futures Trading Commission (the CFTC) voted to propose changes (the Proposed Amendment) to certain CFTC regulations


Sullivan & Cromwell LLP | USA | 11 May 2017

CFTC Proposes to Amend CCO Rules - CFTC Proposes Amendments to Chief Compliance Officer Duties and Annual Reports

On May 3, 2017, the Commodity Futures Trading Commission (the "CFTC") announced proposed amendments to its rules governing the duties of chief


Katten Muchin Rosenman LLP | USA, United Kingdom | 16 Apr 2017

CFTC Staff Gives OK for US FCM to Post Customer Securities to a UK Individual Segregated Account

The Division of Swap Dealer and Intermediary Oversight authorized an US-based futures commission merchant to post customer-owned securities with its


Katten Muchin Rosenman LLP | European Union | 16 Apr 2017

ESMA Clarifies Which Products May Be Eligible for Portfolio Margin

The European Securities and Markets Authority issued an opinion setting forth when a clearing organization ("CCP") may offer the most favorable


Katten Muchin Rosenman LLP | United Kingdom, European Union | 14 Apr 2017

CFTC Releases No-Action Letter Regarding the Transfer of Customer-Owned Securities by FCMs to Foreign Brokers

On April 11, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediate Oversight (DSIO) made publicly available No-Action


Katten Muchin Rosenman LLP | USA | 19 Mar 2017

Comment Period of Proposed Capital Requirements for Swap Dealers Extended by CFTC

The Commodity Futures Trading Commission delayed the expiration of its comment period for its proposed capital rules for swap dealers, major swap

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