Hosted By Practising Law Institute
Speakers
On December 18, 2019, the Securities and Exchange Commission (the “Commission”) adopted rule amendments, guidance, and a related order that complete the Commission’s regulatory framework in connection with security-based swaps. Publication of the rule amendments in the Federal Register triggers the compliance schedule within which security-based swap entities must register with the Commission and such entities and other security-based swap market participants must come into compliance with previously adopted rules pursuant to Title VII of the Dodd-Frank Act.
During this webinar, Curtis A. Doty, Matthew F. Kluchenek and Marlon Paz of Mayer Brown will discuss:
- The compliance schedule for the various aspects of the new regulatory framework;
- How to identify transactions that are security-based swaps;
- How to determine eligibility for the de minimis exemption from dealer registration;
- The principal regulatory obligations of security-based swap dealers, including how the framework applies to broker-dealers and banks;
- Counterparty documentation requirements;
- The extent to which compliance with CFTC swap regulations will satisfy obligations under the Commission’s new framework; and
- The cross-border application of the new framework.
Related Capabilities
Events
-
January 18 – 192023
-
December 152022
-
October 18 – 192022
Stay up-to-date on our perspectives
Subscribe to Email