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Searching Content by James Schwartz from Morrison & Foerster LLP ordered by Published Date Descending.
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1
Structured Thoughts: News for the Financial Services Community, Volume 10, Issue 4
On June 21, 2019, the Securities and Exchange Commission ("SEC") released its final rules (the "Final Rules") stating margin requirements for security-based
United States
30 Jul 2019
2
Structured Thoughts: News For The Financial Services Community, Volume 10, Issue 3
Structured Thoughts: News For The Financial Services Community, Volume 10, Issue 3
United States
8 Jul 2019
3
Structured Thoughts: News For The Financial Services Community, Volume 10, Issue 1
In a January 2019 interpretative letter, the Financial Industry Authority (FINRA) provided guidance to a registered broker-dealer as to the use of pre-inception index performance (PIP) data ...
United States
8 Mar 2019
4
Structured Thoughts: News For The Financial Services Community - August 10, 2018
On July 26, 2018, the Financial Conduct Authority (FCA) of the United Kingdom issued a Call for Input1 in relation to the Packaged Retail and Insurance-based Investment Products ...
UK
20 Aug 2018
5
Transitioning Away From The IBORs: ISDA Publishes Consultation Seeking Feedback On Adjustments Of Risk-Free Rates
In a move that coincided with statements by regulators on both sides of the Atlantic that interbank offered rates (each an "IBOR") will in time be discontinued, on July 12, 2018 ...
United States
26 Jul 2018
6
Five Things To Know About Smart Contracts
Computer scientist and legal scholar Nick Szabo first proposed the idea of "smart contracts" in 1996. Szabo published his initial paper on the topic in a publication called Extropy, a journal of transhumanism ...
United States
28 Jun 2018
7
CFTC Order Extends Application Of Current De Minimis Threshold Until December 2019
Last week the CFTC issued an order that pushes back by one year the date on which the CFTC may lower its swap dealer de minimis threshold, the amount of swap dealing activity in a 12-month period ...
United States
9 Nov 2017
8
The Treasury Report's Recommendations For Derivatives Regulation
The Report notes market participants' view that the scope of the financial end users that are subject to margin requirements is far wider under the U.S. rules than in non-U.S. jurisdictions.
United States
6 Nov 2017
9
FiINRA Delays Required Collateralization Of TBAS And Other MBS Forwards
When the amendments to Rule 4210 are implemented, they will require the collateralization of many forward transactions involving mortgage-backed securities ("MBS").
United States
19 Oct 2017
10
Treasury Report, Part II: Regulation Of The Capital Markets
The U.S. Department of the Treasury ("Treasury Department" or "Treasury") issued its second report (of four reports), titled "A Financial System that Creates Economic Opportunities, Capital Markets" (the "Report").
United States
18 Oct 2017
11
The U.S. Treasury Report Recommendations On Capital Formation
The U.S. Department of the Treasury issued its second report (of four reports), titled "A Financial System that Creates Economic Opportunities, Capital Markets."
United States
18 Oct 2017
12
Federal Reserve Board Issues Final Rules Imposing Restrictions On Qualified Financial Contracts Of Global Systemically Important Banking Organizations
On September 12, 2017, the Board of Governors of the Federal Reserve System (the "Board") published in the Federal Register final rules (the "Final Rules") intended to reduce the potential risks...
United States
9 Oct 2017
13
Replacing Familiar Benchmarks: Preparations To Phase Out The IBORs
Long a mainstay of the financial world, the floating "IBOR" rates, based on the rates of actual or purported interbank offered loans, are now being swept slowly into the dustbin of history.
United States
7 Sep 2017
14
The Federal Reserve And OCC Guidance Regarding Initial Examinations For Compliance With Variation Margin Rules For Non-Cleared Swaps And Security-Based Swaps
The Examination Guidance signals that, with respect to variation margin,3 the Banking Agencies will not immediately seek to enforce strict compliance with the Margin Rules...
United States
8 Mar 2017
15
CFTC Issues Cross-Border Proposal
On October 11, 2016, the U.S. CFTC issued proposed rules to address certain issues related to the cross-border application of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
16 Nov 2016
16
CFTC Releases Its Final Staff Report On The Swap Dealer De Minimis Exception
Last month the Commodity Futures Trading Commission ("CFTC") released the final report of its staff on the de minimis exception to the CFTC's definition of "swap dealer" (the "Final Report").
United States
9 Sep 2016
17
The Federal Reserve's Proposed Rules For Financial Contracts Of Global Systemically Important Banking Organizations And ISDA's Resolution Stay Jurisdictional Modular Protocol
Last month the Board of Governors of the Federal Reserve System (the "Board") issued proposed new rules (the "Proposed Rules") intended to reduce the potential risks posed to the U.S. financial system by too-big-to-fail banks.
United States
10 Jul 2016
18
SEC Issues Business Conduct Rules For Security-Based Swap Entities
The SEC Conduct Rules are generally (though not entirely) consistent with certain of the business conduct rules that the Commodity Futures Trading Commission ("CFTC") finalized for the swaps market in 2012.
United States
18 May 2016
19
CFTC Announces Its Largest Whistleblower Award To Date
Yesterday's award dwarfs the two previous awards under the CFTC's whistleblower program, which were in the amounts of approximately $290,000 and $240,000.
United States
11 Apr 2016
20
Structured Thoughts: News For The Financial Services Community, Volume 6, Issue 9
On 26 November 2015, the European Securities and Markets Authority ("ESMA") published its Final Report on its "Guidelines on complex debt instruments and structured deposits".
Worldwide
22 Dec 2015
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