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Duane Morris LLP
Unless regulators back up their words with actions, this drama is mostly noise, and lenders are free to continue to make BSBY loans.
Cadwalader, Wickersham & Taft LLP
CFTC Interprets Reparations Provisions of CEA
Pryor Cashman LLP
Last month the Commodity Futures Trading Commission (CFTC) imposed a fine on Kraken, one of the largest digital asset exchanges in the United States.
Perkins Coie LLP
Our last series of posts on Rule 18f-4 have struggled to understand how its Limited Derivatives User requirements are supposed to work.
Cadwalader, Wickersham & Taft LLP
Comments on the proposal must be submitted by October 27, 2021.
Cadwalader, Wickersham & Taft LLP
To settle the charges, the broker-dealer agreed to (i) a censure and (ii) a $7,500 fine.
Cadwalader, Wickersham & Taft LLP
A derivatives clearing organization settled CFTC charges for failing to obtain required depository acknowledgment letters for certain futures customer fund accounts.
Cadwalader, Wickersham & Taft LLP
A swap dealer ("SD") settled CFTC charges for omitting certain information on its daily large trader reports ("LTRs") and Forms 102S, and submitted inaccurate commodity reference price and volume values.
Cadwalader, Wickersham & Taft LLP
In remarks before the "Derivatives Trading Forum: Trading ESG Products," ISDA Chief Executive Scott O'Malia urged regulatory action to address Basel III market risk rules for carbon certificates.
Cadwalader, Wickersham & Taft LLP
ISDA CEO Scott O'Malia emphasized the need to develop uniform legal standards for crypto derivatives contracts.
Cadwalader, Wickersham & Taft LLP
The CFTC Market Participants Division (the "Division") granted three swap dealers ("SDs") time-limited, no-action relief from enforcement action for using unapproved internal models to calculate credit risk charges when computing regulatory capital.
Cadwalader, Wickersham & Taft LLP
The CFTC Market Participants Division (the "Division") staff provided temporary capital and financial reporting relief to non-bank swap dealers ("SDs") domiciled in Japan, Mexico, the UK and the EU.
Katten Muchin Rosenman LLP
Recent Commodity Futures Trading Commission (CFTC) enforcement actions rely on the anti-manipulation provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Katten Muchin Rosenman LLP
The recent defaults by Archegos caused several large broker-dealers to incur significant losses. Archegos represented that it operated as a single-family office, which made it exempt from many provisions of the federal securities...
Mayer Brown
Continuing their discussion relating to spoofing and disruptive trading practices, Mayer Brown partners Matt Kluchenek and Glen Kopp discuss the Commodity Futures Trading Commission's (CFTC)
Mayer Brown
Since publication of our Eye on IBOR Transition article in the Winter 2020 issue of the Mayer Brown Structured Finance Bulletin, IBOR transition activity has accelerated significantly, in large part due to (a) the effectiveness on 25 January 2021
Cadwalader, Wickersham & Taft LLP
The associations stated that MODA "would dramatically upend the tax treatment of derivatives."
Cadwalader, Wickersham & Taft LLP
Mr. Quarles also noted that data from Q2 of 2021 shows that large firms used alternative rates for less than one percent of floating rate corporate loans and eight percent of derivatives.
Cadwalader, Wickersham & Taft LLP
NASAA also reported that 32 states have implemented legislation modeled after the NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation.
Cadwalader, Wickersham & Taft LLP
The STA warned that the legislation would have the effect of reducing liquidity in the U.S. equity market.
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