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Understanding the SEC’s evolving derivatives regulatory framework
With the finalization of both the SEC’s regulatory framework for derivatives use by RICs and BDCs and the SEC’s capital, margin and segregation rules regarding security-based swaps, the OTC derivatives regulatory landscape is expected to shift yet again.
CONTINUE READINGChicago Golf Outing
Spend your day re-connecting with the local FIA member community at the Chicago Golf Outing hosted by the FIA Operations Americas Division.
CONTINUE READINGPractical advice for responding to investigations in the commodities/derivatives space
A senior prosecutor from the DOJ's Market Integrity and Major Frauds unit and a senior enforcement attorney from the CFTC will join a panel of Clifford Chance attorneys to discuss and analyze recent cases and various hypothetical scenarios of investigation to assist in-house counsel in identifying potential pitfalls that can lead to charges.
CONTINUE READINGAPAC cross border trading: challenges and opportunities
Whether it’s inter-regional or global, there are consistent dynamics which shape the exchange traded derivatives industry.
CONTINUE READINGFIA legal opinions refresher
If you are an experienced user of FIA legal opinions, new to the world of FIA netting and other legal opinions for regulatory capital purposes or just curious as to why FIA maintains a library of legal opinions, please tune in to this FIA webinar where experts from Clifford Chance LLP and FIA will explain the types of legal opinions that FIA maintains, their structure and purpose in the context of regulatory capital requirements.
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