Pensions & Investments | CFTC Proposal Holds Harsh Surprise for Asset Owners

Learn more about federal priorities – from SEC final rules to the prohibited transaction exemption to the NFA’s Swaps Proficiency Requirements – that will affect the investment industry in the latest issue of Investment Management, Trading & Markets Updates.

Willa Cohen Bruckner discusses how the SEC’s data breach and related cybersecurity concerns could affect the timing of the Commodity Futures Trading Commission’s finalizing of Regulation AT.

Willa Cohen Bruckner is quoted on the six-month enforcement delay by the Commodity Futures Trading Commission of its variation margin requirement on uncleared OTC derivatives, noting that the delay applies only to certain market participants.

Our Investment Funds Group examines how the Commodity Futures Trading Commission (CFTC) has amended Regulation 4.7 to increase investor suitability standards and provide additional flexibility for funds-of-funds reporting.

Two and a half years after the first major settlement with some of the world’s largest financial institutions, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) persist in their campaign against using off-channel communications. Our Investment Funds, Privacy, Cyber & Data Strategy, and White Collar, Government & Internal Investigations Groups unpack the latest enforcement actions, including how the agencies are looking for substantial settlements from smaller registrants.