Dodd-Frank

MFA seeks return of CFTC reg exemption

Many hedge funds had to register with derivatives regulator as a result of post-financial crisis rule changes


CFTC appoints employment lawyer as GC

Daniel Davis joins regulator from Proskauer Rose

SEC raises liquidity concerns over open-ended fund conversions

Regulator uses its SEC Speaks conference to set out priorities for the year ahead



European law firms target SEC whistleblower rewards

‘Whistleblower alliance’ to help non-US employees bring enforcement action to the SEC


Donald Trump to impose five-year lobbying ban on govt staff

Executive order could impact hedge funds hiring SEC, CFTC and Treasury officials


Office of Financial Research calls for Form PF additions

Forcing VaR reporting and position-level data will give regulators a better risk outlook, says OFR


CFTC and Korea agree to cross-border supervision of clearers

Regulators sign Memorandum of Understanding on Friday


DDQ: Dodd-Frank reporting obligations

US and non-US industry participants hit by rules


CFTC/NFA issue report relief to certain CTAs

Form PR filing exemptions covers those not directing client commodity interest accounts


SEC commissioner: Should we regulate alt mutual funds differently?

An SEC commissioner has questioned whether liquid alternatives should be regulated in a different way to other mutual funds and


NFA CEO identifies cyber-security as “important” focus

Cyber-security has been an “important focus all year” for the National Futures Association, the overseer of hedge fund and CTA


CFTC chair urges EU not to “get stuck” on harmonisation

Nation-states must still take responsibility for implementing their own national regulations and not get “stuck” on the idea of harmonisation,


SEC promises swaps rule relief for overseas hedge funds

Non-US hedge fund managers engaging with US personnel on trades with non-US banks have been granted an exemption from complying



Hedge funds face tough SEC pay disclosure rules

The SEC is proposing tough new disclosure rules that could force senior hedge fund executives to publish a clear link


SEC set to extend swap rules on non-US firms

The SEC is set to extend its swap rules to non-US hedge funds and banks trading with overseas clients. Speaking


SEC pays $600,000 to whistleblower at hedge fund adviser

The SEC has paid out more than $600,000 to a whistleblower who faced “unacceptable” retaliatory action from a hedge fund


New Volcker carve out to stave off hedge fund redemptions wave

Big foreign investors, including a number of high profile sovereign wealth funds, will not now be forced to redeem investments


NFA to produce cyber-security guidelines by Spring

Futures regulator the NFA plans to produce a set of advice for its members on cyber-security issues, it was revealed