Kathryn Garland

Cadwalader, Wickersham & Taft LLP

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CFTC Issues Notice of Proposed Rulemaking in Connection with Risk Management Program Regulations for SDs, MSPs and FCMs

The Commodity Futures Trading Commission (the “Commission” or the ”CFTC”), on May 31, 2023 published an Advance Notice of Proposed Rulemaking (“ANPRM”), seeking public comment in connection with potential amendments to the...more

6/16/2023 / Advanced Notice of Proposed Rulemaking (ANPRM) , CFTC , Comment Period , Commodity Exchange Act (CEA) , Futures Commission Merchants (FCMs) , Major Swap Participants , Public Comment , Regulatory Standards , Risk Management , Swap Dealers

Eleven Financial Institutions Pay $700 Million to Settle Recordkeeping and Supervision Violations Related to Off-Channel Business...

On September 27, the Commodity Futures Trading Commission (“CFTC”) issued orders to settle charges against 11 major U.S. and international financial institutions and their swap dealer (“SD”) and futures commission merchant...more

10/6/2022 / CFTC , Civil Monetary Penalty , Electronic Communications , Enforcement Actions , Financial Institutions , Futures Commission Merchants (FCMs) , Recordkeeping Requirements , Regulatory Violations , Securities and Exchange Commission (SEC) , Swap Dealers

CFTC Finalizes Rule Regarding LIBOR Transition Clearing Requirement Determination for Certain Interest Rate Swaps

On August 12, the Commodity Futures Trading Commission (“CFTC”) issued a final rule amending its Regulation 50.4(a) clearing requirements for swaps. The latest in a series of rulemaking that is supportive of the...more

8/19/2022 / CFTC , Derivatives Clearing Organizations , Interest Rates , Libor , New Rules , Reporting Requirements , Secured Overnight Funding Rate (SOFR) , Swap Dealers , Swaps

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