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Swap Dealers

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Legal Insights: The Final CFTC Cross-border Guidance Rules Explained

July 26, 2013 - - 0 Comment

The cross-border application of CFTC rules under Dodd-Frank has long been uncertain. Recently however, the CFTC adopted…

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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Technical Correction to No-Action Letter Regarding Certain Risk Mitigation Requirements

July 11, 2013 - - 0 Comment

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today announced the…

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CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Additional Time to Secure No-Action Relief by Persons Engaging in Floor Trader Activities, for Purposes of Making Calculations Under the Swap Dealer Definition

July 1, 2013 - - 0 Comment

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today announced that…

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CFTC’s Division of Market Oversight Extends Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants From Compliance With Reporting Obligations

June 27, 2013 - - 0 Comment

The Commodity Futures Trading Commission’s (“Commission”) Division of Market Oversight (“Division”) today issued a no-action letter extending…

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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Swap Dealers Concerning Annual Reports of Chief Compliance Officers

June 27, 2013 - - 0 Comment

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) issued a no-action…

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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief from Certain External Business Conduct Standards and Documentation Standards

June 26, 2013 - - 0 Comment

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) today announced the issuance…

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OTC Trade Documentation: A Revolution Awaits

May 23, 2013 - - 0 Comment

New derivatives regulation will transform the OTC trade confirmation process. Sapient’s Nick Fry explains the challenges both…

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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Regarding the Obligation of Swap Dealers and Major Swap Participants to Provide Certain Disclosures for Certain Transactions Under Regulation 23.431

May 1, 2013 - - 0 Comment

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a…

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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Time-Limited Relief for Swap Dealers in Connection with Prime Brokerage Arrangements

April 30, 2013 - - 0 Comment

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a…

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CFTC’s Division of Market Oversight Provides No-Action Relief from Swap Data Reporting Requirements to Swap Counterparties that are not Swap Dealers or Major Swap Participants

April 9, 2013 - - 0 Comment

The Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC) today announced the issuance…

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