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Searching Content by Nihal Patel from Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Options Clearing Corp. Settles SEC And CFTC Charges For Risk Management Compliance Failings
The Options Clearing Corporation ("OCC") settled SEC and CFTC charges alleging failures to address risk management related compliance requirements.
United States
10 Sep 2019
2
FIA Urges Further Consideration Of CFTC Swap Reporting Initiatives
In a comment letter, the Futures Industry Association ("FIA") supported the CFTC's decision to extend the comment deadline on proposed swap reporting amendments.
United States
29 Aug 2019
3
CFTC Staff Permits Financial Institution Subsidiary To Act As Swaps Reporting Counterparty
The CFTC Division of Market Oversight ("DMO") granted time-limited relief to an Irish affiliate of a UK-based financial institution to act as reporting counterparty for certain swaps with U.S.
United States
20 Aug 2019
4
House And Senate Committee Leaders Support Maintaining IM Requirements For Inter-Affiliate Swaps
House Financial Services Committee Chair Maxine Waters and Senate Banking Committee Ranking Member Sherrod Brown expressed their "strong opposition" to "weakening"
United States
8 Aug 2019
5
Trade Associations Urge Expansion Of MMFs In Swaps Initial Margin
Several major trade associations called on U.S. prudential regulators and the CFTC to expand the types of money market funds ("MMFs") eligible for derivatives initial margin.
United States
7 Aug 2019
6
BCBS And IOSCO Extend Initial Margin Implementation Periods
The Basel Committee on Banking Supervision and IOSCO ("BCBS-IOSCO") extended the implementation of derivatives initial margin ("IM") requirements.
United States
30 Jul 2019
7
CFTC Staff Provides Guidance On Separate Accounts
In a no-action letter, the CFTC Division of Swap Dealer and Intermediary Oversight ("SDIO") and Division of Clearing and Risk ("DCR") provided guidance
United States
23 Jul 2019
8
CFTC Proposes Cross-Border DCO Rule Changes
The CFTC proposed rule changes relating to the treatment of DCO registration requirements in a cross-border context.
United States
23 Jul 2019
9
CFTC Staff Provides Guidance On Application Of Swaps Initial Margin Thresholds
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") clarified that "Phase Five" initial margin ("IM")
United States
18 Jul 2019
10
CFTC Staff Analyzes Alternative Calculations For Swap Dealer De Minimis Threshold
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") analyzed alternative metrics for calculating the swap dealer ("SD") de minimis threshold.
United States
18 Jul 2019
11
SEC Proposes Reduction In Margin Requirements For Security Futures
The SEC voted to propose a reduction in the margin requirement for an unhedged security futures position and to align the margin offset table for security futures with the reduced margin requirements.
United States
17 Jul 2019
12
FINRA Increases Margin Requirements For ETNs
According to FINRA, additional margin requirements are necessary due to the "complex nature of these products." The new requirements are as follows.
United States
12 Jul 2019
13
U.S. House Ag Subcommittee Considers Brexit And Other Cross-Border Derivatives Matters
U.S. House Agriculture Subcommittee on Commodity Exchanges, Energy, and Credit considered testimony on international developments that would affect the U.S.
United States
11 Jul 2019
14
CFTC Provides SD De Minimis Relief To Floor Traders
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") provided no-action relief to floor traders from counting certain swaps towards the de minimis threshold for purposes
United States
11 Jul 2019
15
SEC And CFTC Intend To Explore Portfolio Margining
SEC Chair Jay Clayton and CFTC Chair J. Christopher Giancarlo stated their intention to explore whether portfolio margining would be an area where SEC-CFTC "harmonization" would be beneficial.
United States
11 Jul 2019
16
MFA Asks Prudential Regulators To Ease Burden Of Initial Margin "Phase Five" Implementation
The Managed Funds Association ("MFA") asked U.S. prudential regulators to address the regulatory burden and "trading disruptions" caused by "Phase Five" of the implementation of swaps initial margin ("IM") requirements.
United States
9 Jul 2019
17
Basel Committee Agrees To Advance Several Ongoing Policy And Supervisory Initiatives
The Basel Committee (the "Committee") agreed to advance several ongoing policy and supervisory initiatives concerning, among other things
United States
8 Jul 2019
18
The SEC Adopts Security-Based Swap Regulations Governing Capital, Margin And Collateral Segregation
The Securities and Exchange Commission ("SEC") has adopted rules under the Securities Exchange Act (the "SEA") establishing (i) capital and margin requirements applicable
United States
8 Jul 2019
19
ISDA Analyzes Swap Margin Requirements And Market Fragmentation
ISDA identified differences in the jurisdictional implementations of margin requirements for non-cleared derivatives that may have caused market fragmentation.
United States
1 Jul 2019
20
Associations Request Clarification On Implementing BCBS-IOSCO Exemptions From Certain Swaps Margin Requirements
ISDA, SIFMA, the Global Financial Markets Association and SIFMA AMG (collectively, the "associations") urged U.S. regulators to provide guidance on implementing Basel Committee on Banking Supervision
United States
24 Jun 2019
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