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1
CFTC Extends No-Action Relief To SEFs From Certain Block Trade Requirements
The CFTC Division of Market Oversight ("DMO") extended time-limited relief to swap execution facilities ("SEFs") from the "occurs away" requirement in the CFTC Rule 43.2 definition of "block trade."
United States
21 Nov 2017
2
Norway-Based Energy Company To Pay $4 Million For Attempted Manipulation Of Index
A Norway-based energy company agreed to pay a civil monetary penalty to settle CFTC charges of attempting to manipulate a propane benchmark in order to benefit certain physical and financial positions...
United States
21 Nov 2017
3
CFTC Commissioner Behnam Evaluates Implementation Of Derivatives Reforms
Commissioner Rostin Behnam identified four key reform priorities: mandatory clearing, exchange trading of standardized swaps, swap data reporting, and capital and margin requirements...
United States
21 Nov 2017
4
Cadwalader Attorneys Analyze Potential Effects Of House Tax Reform Bill On Nonprofits
A simplified 1.4% private foundation excise tax on investment income. Currently, private foundations are subject to a 2% excise tax on net investment income (lowered to 1% in certain circumstances).
United States
21 Nov 2017
5
FINRA Proposes Allowing Firms To Conduct Remote Inspections Of Qualifying Offices
FINRA requested comments on a proposal to amend rules on supervision to allow for firms to conduct remote inspections of certain "qualifying offices."
United States
20 Nov 2017
6
CFTC Chair Giancarlo Urges SEF Reform And Improved Stress Testing Of CCPs
CFTC Chair J. Christopher Giancarlo encouraged (i) reforming the rules recently adopted for regulating swap execution facilities ("SEFs") and (ii) engaging in collaborative efforts with other regulators...
United States
20 Nov 2017
7
Autumn Budget 2017 Predictions
This Clients & Friends Memo considers tax announcements which might be made in the Autumn Budget.
UK
17 Nov 2017
8
Potential Impact Of House Tax Reform Bill On Nonprofit Tax-Exempt Organizations
On November 2, 2017, Republicans in the U.S. House of Representatives unveiled their tax reform bill (the "Bill"), entitled the "Tax Cuts and Jobs Act."
United States
16 Nov 2017
9
SEC Forms Fixed Income Market Structure Advisory Committee
The SEC announced the creation of a Fixed Income Market Structure Advisory Committee (the "Committee").
United States
16 Nov 2017
10
SEC Enforcement Co-Director Promises Robust FCPA Enforcement
SEC Co-Director of Enforcement Steven R. Peikin expressed his continued commitment to robust Foreign Corrupt Practices Act ("FCPA") enforcement.
United States
16 Nov 2017
11
Banking Regulators Propose New Call Report Revisions
The FDIC, the Board of Governors of the Federal Reserve System and the Office of the Comptroller of the Currency proposed revisions to the Consolidated Reports of Condition and Income.
United States
15 Nov 2017
12
LabCFTC Was Built To Promote FinTech, Says CFTC Chief Innovation Officer
CFTC Chief Innovation Officer and Director of LabCFTC Daniel Gorfine asserted that the LabCFTC initiative was intended to "make the CFTC more accessible to FinTech innovators" and to "inform the [CFTC]'s...
United States
15 Nov 2017
13
Treasury Undersecretary Urges Cooperation In Combating Terrorist Financing
U.S. Treasury Undersecretary for Terrorism and Financial Intelligence Sigal Mandelker described strategies and priorities in combating terrorist financing, money laundering, and other threats...
United States
15 Nov 2017
14
MSRB Proposes Amendments To CUSIP Number Requirements
The MSRB filed an amendment with the SEC to a previous filing of proposed changes to MSRB Rule G-34 ("CUSIP Numbers").
United States
14 Nov 2017
15
OCIE Identifies Compliance Deficiencies By Newly Registered Municipal Advisors
The OCIE found frequent deficiencies regarding municipal advisors' compliance with applicable registration, recordkeeping and supervisory regulations.
United States
14 Nov 2017
16
CFTC Exempts Three International Financial Institutions From Swap Clearing Requirement
The three institutions that are being granted relief in the letters – Banco Centroamericano de Integración Económica, the European Stability Mechanism...
United States
14 Nov 2017
17
OFAC Toughens Cuban Sanctions Rules
The U.S. Department of the Treasury Office of Foreign Assets Control ("OFAC") and the Department of Commerce Bureau of Industry and Security ("BIS")...
United States
14 Nov 2017
18
SEC Chair Jay Clayton Sets "Near-Term" Regulatory Goals
SEC Chair Jay Clayton laid out near-term narrowly focused regulatory goals and committed the agency over the long term to greater transparency.
United States
14 Nov 2017
19
Effects Of House Tax Reform Bill On Securitizations And Funds
On November 2, 2017, Republicans in the House of Representatives released their long-anticipated tax reform bill (the "Bill").
United States
14 Nov 2017
20
SEC Provides Guidance On Permissible Electronic Safeguards For Certain Disclosures
The SEC added Compliance and Disclosure Interpretations ("C&DIs") guidance with respect to certain disclosure rules adopted under the Securities Act.
United States
14 Nov 2017
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