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18 results found


Eversheds Sutherland (US) LLP | USA | 16 Jan 2015

CFTC grants no-action relief to commodity pool operators with respect to certain insurance-linked securitization vehicles

Toward the end of 2014, the staff of the Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO)


Carlton Fields | USA | 16 Jun 2014

CFTC issues no action letter on application of swap rules to longevity reinsurance transaction

There has been considerable concern in the insurance and reinsurance industries that certain hedging and reinsurance activities that companies have


Eversheds Sutherland (US) LLP | USA | 28 May 2014

CFTC interprets “swap” definition in the context of longevity risk transfer

The Commodity Futures Trading Commission's (CFTC) Division of Swap Dealer and Intermediary Oversight (Division) recently addressed for the first time


Winston & Strawn LLP | USA | 14 May 2014

Financial services update May 14 2014 Commodity Futures Trading Commission

On May 7th, the Commodity Futures Trading Commission ("CFTC") issued a time-limited no-action letter stating that the Division of Clearing and Risk


Baker McKenzie | USA | 1 Dec 2013


The CFTC has proposed for comment, CFTC Rule 170.17, which would require all IBs, CTAs and CPOs become members of a registered futures association


Cadwalader Wickersham & Taft LLP | USA | 15 Oct 2012

The application of commodity pool rules to insurance linked securities

The Dodd-Frank Act’s expansion of the definition of “commodity pool” to include any form of enterprise operated for the purpose of trading in “swaps,” coupled with the Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) recently adopting an expansive definition of the term “swap” for purposes of the Dodd-Frank Act and the Commodity Exchange Act, creates uncertainty regarding whether issuers of insurance linked securities (“ILS”) are commodity pools that would require the registration of commodity pool operators (“CPO”) and commodity trading advisors (“CTA”) with the CFTC.


Sullivan & Cromwell LLP | USA | 11 Jul 2012

SEC and CFTC adopt product definitions under Title VII of Dodd-Frank

The SEC and CFTC Voted to Further Define “Swap”, “Security-Based Swap”, and “Security-Based Swap Agreement” and Finalize Related Requirements; CFTC Finalizes End-User Exception.


Proskauer Rose LLP | USA | 1 Jun 2011

SECCFTC and Treasury derivatives proposals under Dodd-Frank

On April 27, 2011, the Securities and Exchange Commission ("SEC") and the Commodity Futures Trading Commission ("CFTC") (collectively, the "Commissions") issued joint proposed rules and interpretive guidance (the "Proposed Rules") to further define and solicit public comment on the terms "swap," "security-based swap," and "security-based swap agreement.


Chadbourne & Parke LLP | USA | 4 May 2011

Despite SEC and CFTC proposed rules on "swap" definition in Dodd-Frank Act, uncertainty remains on financial guaranty insurance policies.

The Dodd-Frank Act imposes considerable new requirements on the business of derivatives, including, among others, rules concerning clearing and settlement, margin requirements, capital requirements, reporting and position limitations.


Mayer Brown | USA | 29 Apr 2011

Federal regulators propose excluding certain insurance products from swaps regulations

On April 27, 2011, the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") jointly issued proposed rules and proposed interpretive guidance further defining key terms with respect to the regulation of derivatives under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

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