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Searching Content indexed under Debt Capital Markets by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
CFTC Grants Time-Limited Relief On Certain Position Aggregation Requirements
DMO also cited the fact that the relief is limited to transactions in major foreign currencies.
United States
23 Nov 2018
2
Federal Register: SEC Addresses Treatment Of Special Entities Under SBSD Business Conduct Requirements
An SEC-issued "Commission Statement" that provides relief from aspects of the security-based swap dealer ("SBSD") business conduct rules was published in the Federal Register.
United States
13 Nov 2018
3
Federal Register: MSRB Proposes Amendments To Reporting Requirements For College Savings And ABLE Programs
The MSRB proposal to amend municipal fund securities reporting requirements under Form G-45 was published in the Federal Register.
United States
9 Nov 2018
4
Trade Associations Request Extension Of Comment Period For Security-Based Swap Rules
Several trade associations requested that the SEC extend the comment period for its proposed rules on capital, margin and segregation requirements for security-based swaps.
United States
9 Nov 2018
5
Industry Associations Provide Feedback On SEC Mutual Fund Disclosure Framework
Several industry associations commented on the SEC mutual fund disclosure framework.
United States
9 Nov 2018
6
European Union Considers Expanding Authority Over Foreign CCPs
As part of the legislative trialogue in connection with the EMIR review, the Council of the European Union has updated a proposal that, among other things, relates to systemically significant foreign CCPs and...
United States
2 Nov 2018
7
Investment Bank Settles CME Charges Of Improper "Exchange For Physical" Trade
An investment bank agreed to settle Chicago Mercantile Exchange Business Conduct Committee ("BCC") charges of executing a non-bona fide "Exchange for Physical" transaction in the Eurodollar futures market.
United States
2 Nov 2018
8
SEC Commissioner Urges Agency To Facilitate Competition In Capital Markets
SEC Commissioner Robert J. Jackson, Jr. called upon the agency to focus on the "forgotten fourth pillar" of its mission: facilitating competition in capital markets.
United States
24 Oct 2018
9
ISDA Analyzes Treatment Of Uncleared Margin As Incentive To Clear
ISDA analyzed the use of uncleared margin for derivatives as an incentive to clear. In a new white paper that draws on internal research
United States
19 Oct 2018
10
CFTC Chair Opposes Proposed EU Cross-Border Legislation
CFTC Chair J. Christopher Giancarlo warned European Union regulators that the agency does not approve of and will oppose any proposed cross-border legislation that is conflicting or overly burdensome.
Worldwide
19 Oct 2018
11
SEC Reopens Comment Period On Capital, Margin And Segregation Requirements For SBSDs
The SEC reopened the comment period, and requested additional comments, on proposed new rules and amendments to (i) establish capital, margin and segregation requirements for SBSDs and major security-based swap...
United States
19 Oct 2018
12
Cadwalader Analysis: SEC Returns To Security-Based Swap Dealer Regulation
Cadwalader attorneys reviewed the SEC's security-based swap rules under Dodd-Frank Title VII in light of the agency taking action to reopen the comment period on capital, margin and segregation requirements.
United States
19 Oct 2018
13
Federal Register: Bank Regulators Allow QFC Amendments To Unmargined Legacy Swaps
The U.S. "prudential regulators" final rule on uncleared swap margin requirements was published in the Federal Register.
United States
17 Oct 2018
14
SEC Commissioner Lays Out Agenda For Security-Based Swap Rules
SEC Commissioner Hester Peirce laid out an agenda for implementing the agency's security-based swap rules under Title VII of Dodd-Frank.
United States
17 Oct 2018
15
NFA Amendments To Risk Disclosure Statement Go Into Effect October 12, 2018
The National Futures Association ("NFA") amendments to the disclosure document that broker-dealers send to customers who trade in security futures products will become effective on October 12, 2018.
United States
5 Oct 2018
16
Broker-Dealer And Investment Adviser Settle SEC Charges For Deficient Cybersecurity Procedures
A broker-dealer and investment adviser agreed to pay $1 million to settle SEC charges of failing to (i) protect customer information and (ii) develop and implement a written identity theft prevention program.
United States
3 Oct 2018
17
ISDA And CCMC Recommend "Safe Harbor" For SEC-CFTC Swaps Regimes
The ISDA-CCMC paper provides a novel solution to what is a tricky regulatory problem.
United States
26 Sep 2018
18
OCC Advises Banks On Implied Support From Foreign Governments
Appropriate documentation standards" to promote consistent application of the policy's aforementioned criteria.
United States
11 Sep 2018
19
SFIG Comments On The Application Of New Partnership Withholding Rules To Certain Securitizations
The Structured Finance Industry Group ("SFIG") submitted comments to the Internal Revenue Service ("IRS") regarding the application of section 1446(f) of the Internal Revenue Code to middle-market collateralized loan obligations ("MM CLOs") and other securitizations.
United States
11 Sep 2018
20
SEC Extends Sub-Penny Rule Exemptive Relief And Retail Price Improvement Program
The SEC granted a proposal to extend BATS BYX-Exchange, Inc. ("BYX") limited exemptive relief from Regulation NMS Rule 612(c) (the Sub-Penny Rule) related to the operation of BYX's Retail Price Improvement Program.
United States
13 Aug 2018
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