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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Orrick ordered by Published Date Descending.
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1
Financial Services Trade Associations Urge HM Treasury To Recognize EEA Derivatives Trading Venues In Event Of No-Deal Brexit
A number of key UK, EU and international financial services trade associations published a letter (dated April 5) to HM Treasury on the equivalence of European Economic Area (EEA)
European Union
1 May 2019
2
CFTC Approves Comparability Determination For Japan's Uncleared Swap Margin Rules
On March 26, the CFTC approved an amended comparability determination that would extend the substituted compliance permitted for Japan's margin requirements for uncleared swaps with respect to the scope of entities...
United States
25 Apr 2019
3
CFTC Adopts Final Rule Amending De Minimis Exception To Swap Dealer Definition
On March 25, the CFTC adopted a final rule amending the de minimis exception to the definition of "swap dealer."
United States
25 Apr 2019
4
CFTC Approves Comparability Determination For Australia's Uncleared Swap Margin Rules
On March 27, 2019, the CFTC approved a comparability determination of Australia's margin requirements for uncleared swaps, finding the requirements comparable to U.S. requirements for substituted compliance purposes.
United States
25 Apr 2019
5
CFTC Issues Interim Final Rule Allowing Uncleared Swaps To Retain Legacy Status In Case Of "No-Deal Brexit"
On March 25, the CFTC adopted and requested comments on an interim final rule designed to provide greater regulatory certainty to global derivatives markets in the event of a "no-deal Brexit."
United States
25 Apr 2019
6
CTFC Staff Issues No-Action Relief To Facilitate Prime Brokerage Activities On SEFs
On March 29, 2019, the CTFC provided relief intended to encourage prime brokers to trade swaps on swap execution facilities by excusing certain pre-trade disclosures.
United States
25 Apr 2019
7
Securities Law/Commodities Exchange Act (CEA) - The World In U.S. Courts: Winter 2019
Alfandary v. Nikko Asset Management Co., Ltd., US District Court for the Southern District of New York, October 4, 2018
United States
2 Apr 2019
8
CFTC And MAS Mutually Recognize Certain Derivatives Trading Venues In The U.S. And Singapore
On March 13, the Commodity Futures Trading Commission (CFTC) issued an order exempting certain derivatives trading facilities regulated by the Monetary Authority of Singapore (MAS)
Worldwide
29 Mar 2019
9
The World In U.S. Courts: Winter 2019
Please click on the area of law you are interested in (for example, "Intellectual Property – Trademark," and you will be brought to all of the case summaries relating to it.
United States
25 Mar 2019
10
Can You Hear The Whistle Blowing Outside: CFTC Makes First Ever Whistleblower Award To Company Outsider
The U.S. Commodity Futures Trading Commission (CFTC) announced earlier this month that it had awarded more than $2 million to an individual who provided "critical information through independent analysis of market data".
United States
21 Mar 2019
11
UK And US Authorities Release Statement On Post-Brexit Continuity Of Derivatives Trading And Clearing
On February 25, the Bank of England (BoE), the Financial Conduct Authority (FCA) and the US Commodity Futures Trading Commission (CFTC) published a joint statement.
Worldwide
13 Mar 2019
12
Getting Smarter: CFTC Publishes Smart Contracts Primer
An Orrick lawyer authored an article titled "Getting Smarter: CFTC Publishes Smart Contracts Primer," addressing LabCFTC's recently released "Primer on Smart Contracts."
United States
8 Mar 2019
13
An End User's Practical Guide To The QFC Stay Rules
The Board of Governors of the Federal Reserve System (Board), the Office of the Comptroller of the Currency (OCC), and the Federal Deposit Insurance Corporation (FDIC)
United States
8 Mar 2019
14
Smart Contracts That Violate The Commodity Exchange Act: What Parties Are Liable?
In recent years, the U.S. Commodity Futures Trading Commission (CFTC) has devoted significant resources to addressing how the requirements of the Commodity Exchange Act (CEA) and the
United States
8 Mar 2019
15
ESMA Updates Mifid II Transitional Transparency Calculations For Electricity Derivatives
On January 22, the ESMA published an updated version of its TTC required under the MiFID II Directive (2014/65/EU) and the Markets in Financial Instruments Regulation (600/2014) ("MiFIR").
United States
1 Feb 2019
16
Securities Law/Commodities Exchange Act (CEA) - The World In U.S. Courts: Summer-Fall 2018
At issue was whether the transaction should be considered US "domestic," and thus within the scope of the US laws.
United States
6 Dec 2018
17
Employers: What FINRA's Cryptocurrency Complaint Signifies For You
Last week, the Financial Industry Regulatory Authority ("FINRA") filed its first disciplinary action involving cryptocurrencies ...
United States
25 Sep 2018
18
CFTC Unanimously Approves Revisions To Delegated Authorities And Technical Amendments
On June 20, 2017, the U.S. Commodity Futures Trading Commission ("Commission") unanimously approved a Final Rule on Revisions to Commission Delegated Authority Provisions and Technical Amendments...
United States
5 Jul 2017
19
CFTC Proposes To Amend Rules Governing Chief Compliance Officer Duties And Annual Reports For Certain Registrants
On May 3, 2017, the U.S. Commodity Futures Trading Commission (CFTC) announced that it will publish in the Federal Register proposed amendments to Part 3 of its regulations.
United States
15 May 2017
20
CFTC Extends No-Action Relief To Swap Dealers In Connection With Swaps Subject To EMIR Margin Requirements
On April 18, 2017, the Commodity Futures Trading Commission ("CFTC") issued a no-action letter extending until November 7, 2017 the relief provided under CFTC Letter No. 17-05 ("Letter 17-05")...
United States
10 May 2017
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