LawFlash/Client Alert | Investment Management LawFlash
Richard Morris, Kaitlyn Piper
Division of Investment Management to lift the moratorium on exemptive requests for actively managed ETFs investing in derivatives; new chapter signaled in the development of ETF industry.
LawFlash/Client Alert | Investment Management LawFlash
Zachary Vonnegut-Gabovitch, Michael Piracci, Dana Westfall, Michael Philipp
CFTC issues no-action letters providing temporary relief from registration, from the swap dealer associated persons statutory disqualification prohibition, and from including certain swaps in the de minimis exception threshold.
LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Bruce Johnston, Thomas D'Ambrosio
OTC derivatives activity outside of the United States may be subject to US law.
LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Thomas D'Ambrosio
Final rules relating to the commercial end-user exception to the clearing requirements of the Dodd-Frank Act clarify who can take advantage of the exception and the requirements for doing so.
LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci, F. Mindy Lo, Laura Flores
Investment advisers operating registered investment companies and private funds that conduct more than a de minimis amount of speculative trading in futures, commodity options, and other commodity interests will no longer be exempt from registering with the CFTC as CPOs.
LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci, F. Mindy Lo, Laura Flores
CFTC requests comments on proposed rules intended to harmonize certain CFTC and SEC disclosure, reporting, and recordkeeping requirements in an effort to mitigate the burden on registered investment companies required to comply with the two separate compliance regimes.
Outside Publication | Article
Andrew Donohue
LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Thomas D'Ambrosio
Sweeping derivative reform legislation contains momentous changes to the way swaps and security-based swaps are regulated and reported.
LawFlash/Client Alert | Business and Finance LawFlash
Business and Finance Practice
The Emergency Economic Stabilization Act of 2008 (the “Act”) was signed into law by President Bush on October 3, 2008. Passage of the Act was the result of intense debate in both the U.S. Senate and the U.S. House o... more
LawFlash/Client Alert | Securities Industry FYI
P. Georgia Bullitt, Robert Mendelson
In the light of responses to its 2007 consultation paper on the disclosure of Contracts for Differences (CP07/20), the United Kingdom’s Financial Services Authority (FSA) has decided to implement a general disclosure regi... more