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Tag: Swaps
Dechert Looks at the Future of Swaps Trading
September 29, 2010
In a recent client memorandum, Dechert LLP examines the recent SEC/CFTC roundtables on regulation of swaps, parsing the statements and comments to give us an idea of what is ahead in the regulation of swaps trading and clearing. For the most part, Dechert's reading is… read more
December 10 Joint SEC-CFTC Roundtable on Swaps
December 08, 2010
The SEC and CFTC have announced that the agencies will hold a joint roundtable on swaps on Friday, December 10, beginning at 1:00PM EST. In particular, the roundtable's discussions will focus on issues related to capital and margin requirements for swap dealers, security-based swap dealers, major… read more
Mutual Funds as “Major Swap Participants”
December 22, 2010
The SEC and CFTC recently have proposed rules that would clarify which types of swaps traders would be subject to the new derivatives regulations mandated under the Dodd-Frank Act. Dodd-Frank defines two critical terms at the heart of the new regulatory regime, "Swap Dealers" and "Major Swap… read more
SEC Grants No Action Relief for Funds re Interest Rate Swaps
April 04, 2011
The SEC's Division of Investment Management extended temporary no-action relief under Section 17(f) of the Investment Company Act of 1940 to any registered investment company if the fund or its custodian places assets in the custody of LCH.Clearnet Limited (LCH Ltd), a derivatives clearing organization… read more