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ISDA provided "high-level" guidance on the application of smart contracts to derivatives.

A Japanese bank agreed to pay the New York State Department of Financial Services ("NYDFS") $33 million to settle claims.

Jeff Johnston and Mike Mascia sat down with James Strode of Global Legal Group for a webinar this week discussing the state of the Fund Finance market...

Kroll Bond Rating Agency (KBRA) this week released a recap of Informa Connect's SuperReturn North America conference on private equity

We report elsewhere in this issue on Senate Finance Committee Chair Ron Wyden's proposed mark-to-market tax on billionaires.

The LSTA published an Excel version of its ESG borrower due diligence questionnaire, the latest step in an asset manager ESG diligence initiative that started in June 2021...

Representative settles FINRA charges for registration form filing deficiencies. FTC seeks comment on draft of 2022-2026 strategic plan.

Mr. Berkovitz was previously a partner and Co-Chair of the Futures and Derivatives Practice at Wilmer Cutler Pickering Hale and Dorr LLP.

Brian Quintenz was sworn in as a Commissioner of the CFTC. Mr. Quintenz was confirmed unanimously by the U.S. Senate on August 3, 2017 (see previous coverage).

The Federal Reserve Bank of New York named Michael Held executive vice president, head of the Legal Group and general counsel.

The NFA's Board of Directors approved an annual dues surcharge of $1,750 on specific member firms engaged in swaps activities.

The NFA Board of Directors reelected Michael C. Dawley as Chair. Mr. Dawley of Goldman Sachs & Co. will serve a one-year term.

The NFA provided a list of holiday filing requirements for swap dealers ("SDs") between December 2018 and December 2019.

The National Futures Association ("NFA") reminded swap dealer registrants of their regulatory reporting requirements in the midst of the coronavirus pandemic.

NFA requested nominations to fill five Public Representative positions for the NFA's Board of Directors.

Regarding the failure to supervise charge, the NFA faulted the IB for allowing two associated persons to solicit business from their home offices without listing the homes as branch offices.

FICC settles SEC charges for liquidity policy and margin risk management violations. Financial Services Subcommittee questions experts on China-based issuers.

President Biden nominates Jerome Powell to continue leading Fed, taps Lael Brainard to be Vice Chair. CFTC extends Brexit-related relief to UK entities.