Swap contracts, famously described as the financial equivalent of “weapons of mass destruction,” have continued to evolve since their heyday leading up to the 2008-2009 financial crisis. Most swaps use the standardized...more
The Commodity Futures Trading Commission (CFTC) has now made it clear that, in its view, certain initial coin offerings (ICOs) within the United States or affecting U.S. residents may be within its jurisdiction. On October...more
10/19/2017
/ Blockchain ,
CFTC ,
Cryptocurrency ,
Digital Currency ,
Distributed Ledger Technology (DLT) ,
Dodd-Frank ,
Financial Markets ,
Initial Coin Offering (ICOs) ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Token Sales ,
Unregistered Securities ,
Virtual Currency
Because of the implementation of new regulatory requirements relating to both variation and initial margin for swaps, swap documentation for many market participants is about to become much more complicated....more
2/13/2017
/ AIG ,
Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Credit Support Annex (CSA) ,
Dodd-Frank ,
End-Users ,
Financial Institutions ,
FX Swaps ,
ISDA ,
Jurisdiction ,
Margin Requirements ,
Over The Counter Derivatives (OTC) ,
Regulatory Standards ,
Securities ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swap Market ,
Swaps
It is important for registered investment advisers to determine if the correct workers – regardless of employee or consultant labels — have been designated as Access Persons.
Originally published as a guest post on Hedge...more
The U.S. Treasury’s Financial Crimes Enforcement Network (FinCEN) published a notice of proposed rulemaking (the Proposed Rule) on September 1, 2015 that would impose anti-money laundering (AML) requirements for investment...more
10/2/2015
/ Anti-Money Laundering ,
BSA/AML ,
Closed-End Funds ,
Compliance ,
Dodd-Frank ,
Financial Institutions ,
FinCEN ,
Investment ,
Investment Adviser ,
Investors ,
Money Laundering ,
Mutual Funds ,
Patriot Act ,
Pooled Investment Vehicles ,
Registered Investment Advisors ,
SAR ,
SBIC ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
U.S. Treasury
Investment Management Update - January 2015
This podcast is a recording of the January 2015 webinar that Pepper partner Gregory J. Nowak participated on for West LegalEdcenter.
Mr. Nowak discussed a regulatory outlook...more
In This Presentation:
- History of Obama’s First Six Years
- Constitutional Constraints
- Several Rules That Wrankle
- Market Constraints
- Crystal Ball Prognostications
- Excerpt...more
12/12/2014
/ Affordable Care Act ,
Dodd-Frank ,
Employer Mandates ,
Financial Regulatory Reform ,
Great Recession ,
Hedge Funds ,
Investment Management ,
JOBS Act ,
Obama Administration ,
Quantitative Easing ,
TARP
In This Presentation:
- Introduction
- Post 2008 Regulatory History
- Classifying Money Market Funds
- Floating Nav
- Liquidity Fees And Redemption Gates
- Liquidity Fees
-...more
On July 10 the Securities and Exchange Commission (SEC) adopted implementing regulations under the JOBS Act of 2012 (concerning the relaxation of the prohibitions against “general solicitations” under Regulation D under the...more