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Financial Services Observer

News & Commentary on Financial Regulatory and Compliance Matters

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CFTC Proposes Expanding Exemption for Non-U.S. Commodity Pool Operators

By Jeffry M. Henderson & Douglas E. Arend on June 9, 2020

Posted in CFTC, Commodities, Financial Regulation, Financial Services Litigation, Securities and Exchange Commission

On May 28, 2020, the Commodity Futures Trading Commission (CFTC or the Commission) proposed a rule (the 2020 Proposal) broadening the exemption under which non-U.S. commodity pool operators (CPOs)

…
Continue Reading CFTC Proposes Expanding Exemption for Non-U.S. Commodity Pool Operators

Derivatives Update: What You Should Know As We Enter 2017

By Douglas E. Arend & Nanette Aguirre on November 23, 2016

Posted in EU's Bank Recovery and Resolution Directive, Financial Regulation, Securities, Tax

This year has been full of surprises in the global markets with Brexit, the Republicans’ win of the executive branch and continuing control of the legislative branch in the U.S.
Continue Reading Derivatives Update: What You Should Know As We Enter 2017

How the SEC Proposed New Derivatives Rules Affect Registered Funds and Business Development Companies

By Nanette Aguirre on December 18, 2015

Posted in Risk Management, SEC

On Dec. 11, 2015, the SEC proposed new derivatives rules for registered funds and business development companies. The proposed rules set limits on portfolio exposure and the requirement that funds …
Continue Reading How the SEC Proposed New Derivatives Rules Affect Registered Funds and Business Development Companies

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Greenberg Traurig’s Financial Regulatory and Compliance Group brings together attorneys from various offices and practice areas to assist financial services firms of all types and sizes, as well as vendors to those firms, as they face regulatory, legislative, supervision, examination, licensing, compliance, and governance matters

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