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The Law of Derivative Structures in Canada ( June 2005 )
Defining the scope of the law as it relates to derivatives is difficult given the extent of the market, the variety of market participants and the paucity of jurisprudence related to derivatives. Derivatives take two forms: (i) exchange-traded derivatives, which are traded on recognized exchanges, and (ii) over-the-counter ("OTC") derivatives, which are privately negotiated and customized bilateral contracts under which two parties agree to complete transactions specific to the parties, the obligations under which may only be transferred to a third party under the terms agreed to by the parties. -
Final Rules Regarding CPOs and CTAs: Additional Exemptions, Confirmation of No-Action Relief and Other Regulatory Relief ( August 2003 )
On August 8, 2003, the Commodity Futures Trading Commission (the "CFTC") announced a set of final rules designed to amend the rules relating to the exclusions and exemptions from registration for commodity pool operators (each, a "CPO") and commodity trading advisors (each, a "CTA"). -
NFA Compliance Rule 2-38: Business Continuity and Disaster Recovery Plans ( May 2003 )
The Commodity Futures Trading Commission (the “CFTC”) has approved a National Futures Association (“NFA”) rule that will become effective on July 1, 2003. Compliance Rule 2-38 (the “Rule”) requires all NFA members (each, a “Member”) to establish and maintain a written business continuity and disaster recovery plan (a “Plan”) that outlines procedures to be followed during an emergency or a significant business disruption. -
Credit Derivatives: Safe Harbors Under The CAE ( November 2000 )
Reproduced with permission of Glasser LegalWorks, 150 Clove Road, Little Falls, NJ 07424. (800) 308-1700. -
Securities-Based Hybrids: Can They Never Qualify Under Part 34? ( November 2000 )
This article addresses whether the Commodity Futures Trading Commission's ("Commission") Part 34 Hybrid Exemption Rule ("Hybrid Exemption") may be applied to a debt security, equity or deposit instrument, as to which potential payments and losses (two-way indexation) are based on or derived from the value of one or more nonexempt securities. -
CFTC Releases Plan for Market Deregulation ( March 2000 )
The staff of the Commodity Futures Trading Commission (the "CFTC") has issued a report (the "Staff Report") which p. -
CFTC ( November 1999 )
SEC Petitions For Rehearing Of CBT Dow Index Case The Securities and Exchange Commission has petitioned the Sev. -
CFTC Clarifies Applicability of "Letters" Definitions ( June 1999 )
The Staff of the Commodity Futures Trading Commission ("CFTC") recently issued an advisory clarifying that the foll.
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