Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
Cadwalader, Wickersham & Taft LLP
The CFTC Market Risk Advisory Committee debated clearinghouse and vendor risk management issues in the Committee's third and last meeting of 2018.
Cadwalader, Wickersham & Taft LLP
Mr. Quintenz explained that the growth of China's futures markets has been critical to its economic rise.
Cadwalader, Wickersham & Taft LLP
IOSCO found that members have made "substantial progress" towards achieving full compliance, and, in certain instances, have improved their implementation of the Principles for the Regulation and Supervision of Commodity Derivatives Markets (the "Principles").
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo reviewed the findings of a recent study by the Office of the Chief Economist of the CFTC on the relative liquidity of exchange-traded futures contracts and cash securities in the U.S. Treasury market.
Cadwalader, Wickersham & Taft LLP
The U.S. District Court for the Southern District of New York determined that the CFTC failed to prove that a Chicago trader and his firm had either manipulated or attempted to manipulate the price of certain interest rate swaps.
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") provided guidance on the annual affirmation requirement for entities that are currently exempt from commodity pool operator ("CPO")...
Shearman & Sterling LLP
On November 19, 2018, a final joint report on the incentives to clear OTC derivatives was published by the Financial Stability Board, the International Organization of Securities Commissions ...
Cadwalader, Wickersham & Taft LLP
The CFTC requested comment on the utility of "post-trade name give-up" practices where swaps are anonymously executed and intended to be cleared ...
Shearman & Sterling LLP
On October 31, 2018, the Securities and Exchange Commission issued a non-enforcement position providing market participants, for a five-year period ...
Shearman & Sterling LLP
On November 5, 2018, the Commodity Futures Trading Commission unanimously voted to adopt a final rule that would permanently set the swap dealer de minimis registration threshold at $8 billion.
Morrison & Foerster LLP
On November 21, 2018, the federal banking agencies issued a proposal to simplify the regulatory capital requirements for qualifying community banking organizations, generally those with less than $10 billion in assets.
Orrick
At issue was whether the transaction should be considered US "domestic," and thus within the scope of the US laws.
Cadwalader, Wickersham & Taft LLP
The CFTC approved a proposed rule to amend Rule 160.5, which requires certain "covered persons" to provide annual privacy notices to customers at least once a year during the life of the customer relationship.
Cadwalader, Wickersham & Taft LLP
A trader agreed to settle Chicago Mercantile Exchange ("CME") charges for placing multiple orders without intention to execute (i.e., "layering" or "spoofing").
Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Brian Quintenz expressed support for an approach toward substituted compliance determinations that distinguishes between the rules designed to address systemic risk reforms and those designed to address market activities.
Mayer Brown
Recently, Nasdaq Private Market published a new white paper covering Restricted Stock Units (RSUs)
Kramer Levin Naftalis & Frankel LLP
Legal commentary on the news and events that matter most to alternative asset managers and funds.
Hunton Andrews Kurth LLP
The acting general counsel of the Federal Election Commission ("FEC") recently published for public comment a draft advisory opinion under the Federal Election Campaign Act
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo recommended (i) reducing the number of obstacles to swaps clearing and (ii) transitioning away from LIBOR to alternative risk-free rates.
Kramer Levin Naftalis & Frankel LLP
On Nov. 14, 2018, a New York appellate court held that in a derivative action brought in a New York court against a company incorporated in the United Kingdom
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Dentons
US and non-US persons risk monetary fines and secondary sanctions, as well as negative commercial and reputational consequences, if they engage in prohibited transactions involving Iran.
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code §199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Arnold & Porter
Following historical trends, the first mid-term Congressional election in the Trump Administration has concluded with a new Democratic majority in the House of Representatives.
Proskauer Rose LLP
Recently at a conference in Dubai, Brian Quintenz, who is a Commodity Futures Trading Commission Commissioner, expressed his personal opinion on the conceptual challenges in applying the CFTC's regulatory oversight.
Mayer Brown
On September 26, 2018, a US federal court found that virtual currency constitutes a class of items that are commodities under the Commodity Exchange Act
Morgan Lewis
The US Department of the Treasury and the Internal Revenue Service (IRS) released much-anticipated guidance on October 19 on investments in the new Opportunity Zone Funds.
Cadwalader, Wickersham & Taft LLP
FINRA provided the filing dates for broker-dealer annual audit, FOCUS, and custody reports for 2019 and the first quarter of 2020.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
The SEC's recent actions suggest that the SEC is attempting to avoid that result.
Shearman & Sterling LLP
On November 14, 2018, the FSB published a progress report on ongoing reforms to major interest rate benchmarks.
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