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The eligible affiliate counterparties electing the exemption must pay and collect variation margin on swaps with all other eligible affiliate counterparties with whom they enter ...
SEC examiners will seek documents showing firms’ organizational structure and business lines, as well as any groups and even third-party vendors, responsible for helping them ...
The sample document request is intended to help empower compliance professionals in the industry with questions and tools they may use
“The SEC is also holding up registrations in jurisdictions that have similar” rules to GDPR
The pandemic and market volatility that “has reached historic levels” explain the change
The Commission is proposing that non-U.S. CPOs may claim an exemption from registration with respect to its qualifying offshore commodity pools
The Commission proposes to exempt swaps entered into with a central bank, sovereign entity, or international financial institution from the Clearing Requirement
Three Monsoon employees told Prakash that a use of fund assets for his own personal benefit would breach his fiduciary duty. Prakash placed his personal ...
Within days, Everest closed the Global Fund and Fund investors lost almost the entirety of their investment
Advisers, including registered and private fund advisers, should consider the risks of emerging market closures in their disclosures
These regulations set requirements for foreign firms acting as an FCM, introducing broker, commodity pool operator and commodity trading adviser that offer and sell foreign ...
The Commission is also proposing revisions to streamline the requirements for reporting new swaps
To help in the transition away from LIBOR
The World Health Organization has described the newly dubbed COVID-19 virus as a “very grave threat”
Rule includes an interpretation addressing the application of the portfolio reconciliation, portfolio compression, and trading relationship documentation requirements to cross-border security-based swap activities
The Commission is providing guidance regarding the application of certain uses of the terms ‘‘arranged’’ and ‘‘negotiated’’
There's an increased risk of private litigation tied to data breaches
"Without doubt, we face another interesting year ahead"
A peer shares a copy of a subscription agreement that includes terms relevant to clients in various countries
The proposal addresses the cross-border application of the registration thresholds and certain requirements applicable to swap dealers and major swap participants
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