Swaps

The CFTC seeks comments on the adoption of certain risk management programs, including the governance and structure of such programs, the enumerated risks these programs must ...

This final rule makes it unlawful for any officer, director, supervised person, or employee of a security-based swap dealer or major security-based swap participant to ...

The comment period for the SEC's swaps proposal has now been extended to August 21

"The rule is designed to safeguard the independence and objectivity of a security-based swap entity’s CCO by preventing the personnel of that entity from taking ...

"Protecting the independence of these CCOs’ work protects investors and benefits market integrity"

"Will subjecting every interaction between employees and a CCO to potential legal liability empower the CCO to do her job or simply make employees less ...

The "final rule does not contain any safe harbor for hedging activities arising out of lending activities"

"The integrity of the swaps market depends on CCOs being able to perform this role free from coercion, threats, manipulation, and any other form of ...

The proposed expansion would add the following entities to the definition of ‘‘SCI entity’’: registered security-based swap data repositories; registered broker-dealers exceeding an asset ...

"Goldman failed to communicate in a fair and balanced manner based on principles of fair dealing and good faith"