53 research outputs found
Ask the Professor: How Does the U.K. Client Money Rules Differ from the U.S. Customer Segregated Rules when the Custodian Firm Fails to Treat Customer Property Properly?
Get PDFMy Thoughts and Reflections on the Tenth Anniversary of the 2008 Financial Crisis and Other Current Matters
Get PDFASK THE PROFESSOR—WHAT IS THE IMPACT OF THE RECENT SECOND CIRCUIT DECISION IN TOWER RESEARCH CAPITAL ON THE GLOBAL FUTURES MARKETS?
Get PDFAsk The Professor—What Will Be the Impact of the Recent Fifth Circuit Decision in Clarke v. CFTC On Future CFTC No-Action Letters?
Get PDFAsk the Professor: Portfolio Margining – How Will Dodd-Frank Impact Its Utilization?
Get PDFThis article analyzes the background and current status of portfolio margining, how it has evolved over the past several years, and how the recent Dodd-Frank Act will impact its utilization and effectiveness. Portfolio margining allows a broker-dealer to analyze a client\u27s total overall portfolio from a risk-based analytical model, establishing the proper minimum initial margin requirements for the entire portfolio applying certain parameters. To be a more effective tool, changes to the U.S. Bankrupcty Code were needed. The Dodd-Frank Act made those legislative changes. It\u27s now up to the regulators to make portfolio margining an even more effective and utilized tool
What Will The Tower Research Capital II Ruling Mean For CFTC Enforcement Actions Against Non-U.S. Firms?
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Energy Derivatives: Which Country (U.S. or U.K.) Provides the Best Customer Asset Protections to an Energy Trading Firm If Its Brokerage Firm/Counterparty Files for Bankruptcy
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