Skip to Main Content

US Regulations for European Investment Firms

Presented by Infoline
Speaking Engagement | May 24, 2016

Financial Services partner Carolyn Jackson will present the "International Perspectives on Regulatory Developments in the OTC Derivatives Markets" session at the US Regulations for European Investment Firms conference on Tuesday, May 24 at 4:25 p.m. This session will address current and upcoming regulatory obligations of European asset managers engaging in OTC derivatives and the cross-border challenges of compliance, and includes:

  • Which OTC derivatives are covered under EU and US regulations?
  • What is the current regulatory state of play for OTC derivatives?
  • What differences exist between the SEC's and CFTC's regulatory scheme for OTC derivatives that is applicable for European asset managers?
  • What is the latest on the scope and timing of the margin rules for OTC derivatives?
  • How can compliance with both US and EU mandatory clearing obligations be achieved? A mandatory trading obligation?
  • Does a European asset manager's activity in OTC derivatives subject it to registration with either the CFTC or SEC as an investment adviser, commodity trading adviser, commodity pool operator, swap dealer, major swap participant, and so forth?
  • What should European asset managers be doing now to demonstrate regulatory compliance best practices?