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CFTC

Hard Brexit: An Impact Assessment for US Entities Registered with the CFTC

This paper highlights the issues that must be addressed in the case of a ‘hard’ Brexit. Specifically, it:

Status of Financial Regulatory Leadership Changes

As we emerge from the midterm election season, we have updated our brief deck summarizing the leadership and staffing changes among federal financial regulators, including announced nominations, confirmations, resignations and expiring terms.  The first slide summarizes the state of play for the agencies’ principals; the later slides provide a deeper look on an agency-by-agency basis, including select senior staff.  We intend to continue to update this res

Davis Polk Financial Services Regulatory Reform Tool—Post Midterm Election Edition

Financial services regulatory reform will continue to evolve in 2018 and 2019.  As we observe the changing legislative landscape, here is the Post Midterm Election Edition of our reference tool, which provides context and summarizes current developments across a range of key regulatory areas, agencies and actors.  We will continue to track these issues and will provide our next update early in the new year.

Don’t Wave Dodd-Frank Goodbye Just Yet

DON’T WAVE DODD-FRANK GOODBYE JUST YET

by Anne-Charlotte Duhaut, Marketing Director at RegTek.Solutions 

Commerzbank to pay $12 million for swaps dealing violations

Former Deutsche Bank swaps trader fined $350,000 for trying to hide trading losses

CFTC Chairman Giancarlo’s White Paper Outlines Specific Recommendations to Cross-Border Swaps Regulation

After a several-year pause, the CFTC is again re-assessing its approach to cross-border regulation of swap activities. The CFTC’s current approach is embodied in various rulemakings, guidance, orders, and agreements with non-U.S. regulators that have been adopted, issued, and entered into since 2013.

Status of Financial Regulatory Leadership Changes

As we head into the mid-term election season, we have updated our brief deck summarizing the leadership and staffing changes among federal financial regulators, including announced nominations, confirmations, resignations and expiring terms.  The first slide summarizes the state of play for the agencies’ principals; the later slides provide a deeper look on an agency-by-agency basis, including select senior staff.  We intend to continue to update th

A Solution for Consistency

Earlier this year, when testifying to a US Congressional committee, I proposed a holistic solution to the lack of harmonization between Commodity Futures Trading Commission (CFTC) and Securities and Exchange Committee (SEC) rules.

A Solution for Consistency

Earlier this year, when testifying to a US Congressional committee, I proposed a holistic solution to the lack of harmonization between Commodity Futures Trading Commission (CFTC) and Securities and Exchange Committee (SEC) rules.

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