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May 11, 2016

Business Conduct Standards for Security-Based Swap Deals and Major Security-Based Swap Participants

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On April 15, 2016, the Securities and Exchange Commission (SEC) – in its ongoing effort to regulate the over-the-counter security-based swap markets – adopted final rules under Title VII of the Dodd-Frank Act implementing comprehensive business conduct standards and chief compliance officer requirements for security-based swap dealers and major security-based swap participants.

View full memo, Business Conduct Standards for Security-Based Swap Deals and Major Security-Based Swap Participants

Authors and Contributors

Donna Parisi

Partner

Derivatives & Structured Products

+1 212 848 7367

+1 212 848 7367

New York

Geoffrey Goldman

Partner

Derivatives & Structured Products

+1 212 848 4867

+1 212 848 4867

New York

Azam Aziz

Partner

Derivatives & Structured Products

+1 212 848 8154

+1 212 848 8154

New York