Clients who have engaged in Qualified Financial Contracts (QFCs)—which include derivatives, repurchase agreements and securities lending—with large financial institutions may have received, or may soon receive, a notice...more
On August 28, 2018, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) released a staff no-action letter allowing an anonymous individual financial institution...more
8/31/2018
/ CFTC ,
Derivatives ,
Dodd-Frank ,
Enforcement Actions ,
IDIs ,
No-Action Letters ,
No-Action Relief ,
Registration Requirement ,
Regulatory Oversight ,
Regulatory Requirements ,
Swap Dealers ,
Swaps