The U.S. banking regulators’ have adopted final uncleared swap margin, capital and segregation requirements and an interim final margin rule with limited exemptions. We have summarized ...
The Dodd-Frank Act, enacted after the global financial crisis, requires U.S. financial regulators to define and regulate systemically risky firms and activities—a truly Sisyphean task. ...
As of the end of the third quarter of 2015, a total of 271 Dodd-Frank rulemaking requirement deadlines have passed. Of these 271 passed deadlines, 193 (71.2%) have been met with finalized...
On September 22, 2015, the Commodity Futures Trading Commission proposed modifications to its position limit aggregation requirements for owned entities (the “2015 Aggregation Proposal?...
On August 5, 2015, the SEC unanimously adopted final rules and forms for the registration of security-based swap dealers and major security-based swap participants. The final rules draw ...
This special Progress Report marks the five-year anniversary of the Dodd-Frank Act. To highlight the anniversary, we have developed a stats-driven infographic
looking at the implementati...
The week of June 15, 2015 saw two of the first publicly announced enforcement actions brought by the SEC and CFTC to enforce security-based swap and swap regulatory requirements under Tit...
Articles & Books
compliancereporter.com, Vol. XXII, No. 12, June 15, 2015
The July 21 Volcker rule compliance date is approaching rapidly. While most affected firms have completed the year-plus long process of analyzing their activities in light of the rule’s...
On May 13, 2015, the SEC published proposed amendments and re-proposed rules on the application of certain Title VII requirements to cross-border security-based swap activities of non-U.S...
In the past quarter, no rulemaking requirement deadlines passed, four rulemaking requirements were finalized and two rulemaking requirements were proposed.
As of the end of the first qua...
