Publications

• New Executive Order Outlining National Policy for Digital Assets
  14 March 2022
  Morgan J. Hayes
  ,
  Byungkwon Lim
  ,
  Carter Burwell
  ,
  Gary E. Murphy
  ,
  Aseel M. Rabie
  ,
  Ezra Newman
  ,
  Taylor Richards
• Chambers Practice Guides: Blockchain 2021
  24 June 2021
  Chambers Practice Guides
  Byungkwon Lim
• Blockchain Year-in-Review 2020
  26 April 2021
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Philip Orange
  ,
  Dr. Friedrich Popp
• NFA Compliance Rule 2-50: New Event Notice Filings for Registered CPOs
  7 April 2021
  Byungkwon Lim
  ,
  Gary E. Murphy
• UK Treasury Outlines the UK Regulatory Approach to Cryptoassets and Stablecoins
  25 February 2021
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Philip Orange
• Bank of Russia Issues First Regulations Under the Law on Digital Financial Assets
  19 February 2021
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Philip Orange
• OCC Issues Latest Fintech Interpretive Letters Covering Distributed Ledger Technology in Payments and Limited Purpose Banks
  19 January 2021
  Satish M. Kini
  ,
  Byungkwon Lim
  ,
  Gregory J. Lyons
• FinCEN Proposes Reporting, Recordkeeping and Verification Requirements for Digital Currency Transactions Involving Unhosted Wallets
  31 December 2020
  Satish M. Kini
  ,
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Jonathan R. Wong
• CFTC Expands Exemptive Relief for Certain Non-US Commodity Pool Operators
  19 November 2020
  Byungkwon Lim
  ,
  Gary E. Murphy
• European Commission Introduces Sandbox for DLT-Based Trading and Post-Trading Market Infrastructures
  17 November 2020
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Philip Orange
  ,
  Evgenii Lebedev
  ,
  Dr. Friedrich Popp
• European Commission Introduces Draft Regulation for Markets in Crypto Assets (MiCA)
  3 November 2020
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Philip Orange
  ,
  Evgenii Lebedev
• Russia Adopts Law on Regulatory Sandboxes
  18 September 2020
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Evgenii Lebedev
• Germany Introduces Electronic and Crypto Securities
  14 September 2020
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Evgenii Lebedev
• Russia Adopts Law on Digital Financial Assets
  6 August 2020
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Evgenii Lebedev
• CFTC Expands Statutory Disqualification to Exempt CPOs
  11 June 2020
  Byungkwon Lim
  ,
  Gary E. Murphy
• Blockchain 2019 Year-In-Review
  27 April 2020
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Philip Orange
  ,
  Dr. Friedrich Popp
• CFTC and NFA Provide Relief to Swap Dealers and Other Derivatives Intermediaries in Response to COVID-19
  20 March 2020
  Byungkwon Lim
  ,
  Jeff Robins
  ,
  Emilie T. Hsu
• NFA Announces Launch of Swaps Proficiency Requirements
  13 January 2020
  Byungkwon Lim
  ,
  Gary E. Murphy
• FinTech Law and Regulation: Regulatory Sandboxes
  16 October 2019
  FinTech Law and Regulation
  Byungkwon Lim
• Russia Adopts Crowdfunding Law
  4 September 2019
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Evgenii Lebedev
  ,
  Dr. Friedrich Popp
• FATF Guidance on AML Regulations Poses Significant Challenges to Crypto Industry
  12 July 2019
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Evgenii Lebedev
  ,
  Dr. Friedrich Popp
• Loi PACTE: French Regulator Implements an Innovative Legal Framework for ICOs
  8 July 2019
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Philippe Tengelmann
  ,
  Rosanne Lariven
• The CLS Blue Sky Blog: Debevoise Discusses Guidance on Applying Bank Secrecy Act Framework to Convertible Virtual Currency
  5 June 2019
  The CLS Blue Sky Blog
  Satish M. Kini
  ,
  Byungkwon Lim
• Applying the Bank Secrecy Act Framework to Convertible Virtual Currency: FinCEN Issues Guidance and Clarifies Expectations
  28 May 2019
  Satish M. Kini
  ,
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Robert T. Dura
• Law360: A Glimpse Into The Potential Future Of AI Regulation
  14 May 2019
  Law360
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Dr. Friedrich Popp
• EMIR Refit Regulation – Impact on Asset Managers
  13 May 2019
  Byungkwon Lim
  ,
  Jeff Robins
  ,
  Patricia Volhard
  ,
  Emilie T. Hsu
  ,
  John Young
• German and EU Authorities Present First Ideas on the Regulation of Artificial Intelligence
  18 April 2019
  Byungkwon Lim
  ,
  Dr. Thomas Schürrle
  ,
  Dr. Friedrich Popp
• SEC Framework and No-Action Letter Provide Guidance on Analyzing Whether a Digital Asset is a Security
  11 April 2019
  Kenneth J. Berman
  ,
  Morgan J. Hayes
  ,
  Matthew E. Kaplan
  ,
  Byungkwon Lim
  ,
  Gary E. Murphy
• Russian State Duma Adopts Bill on Digital Rights in Third Reading
  14 March 2019
  Byungkwon Lim
  ,
  Gary E. Murphy
• Blockchain 2018 Year-in-Review
  14 February 2019
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Dr. Friedrich Popp
• Debevoise & Plimpton Discusses Custody Of Digital Assets
  8 January 2019
  The CLS Blue Sky Blog
  Kenneth J. Berman
  ,
  Byungkwon Lim
  ,
  Gary E. Murphy
• Custody of Digital Assets: Centralized Safekeeping of Decentralized Assets under the Investment Advisers Act
  17 December 2018
  Kenneth J. Berman
  ,
  Byungkwon Lim
  ,
  Gary E. Murphy
• CFTC Proposes Rules to Streamline Certain CPO and CTA Regulations
  19 November 2018
  Byungkwon Lim
  ,
  Gary E. Murphy
• U.S. Resolution Stay Regulations and the ISDA 2018 U.S. Resolution Stay Protocol
  26 October 2018
  Byungkwon Lim
  ,
  Jeff Robins
  ,
  Emilie T. Hsu
• CFTC Issues Advisory on Virtual Currency Derivative Product Listings
  21 June 2018
  Byungkwon Lim
  ,
  Gary E. Murphy
• Russian Court Holds That Cryptocurrency Constitutes Property
  20 June 2018
  Byungkwon Lim
  ,
  Dmitri V. Nikiforov
• CFTC Chairman Publishes White Paper: Swaps Regulation Version 2.0
  31 May 2018
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Amendments to the Russian Civil Code: Blockchain Tokens, Cryptocurrencies and Smart Contracts
  17 May 2018
  Byungkwon Lim
  ,
  Dmitri V. Nikiforov
• Blockchain: A Journey to....Where?
  17 May 2018
  Byungkwon Lim
• NFA Advises Members to Comply with U.S. Sanctions in Digital Currency Activities
  14 May 2018
  Satish M. Kini
  ,
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Robert T. Dura
• Thinking Inside the Box: The UK FCA Sandbox, a Playground for Innovation
  6 March 2018
  Byungkwon Lim
• First Russian Bills on Cryptocurrencies, ICO and Crowdfunding
  26 February 2018
  Byungkwon Lim
  ,
  Dmitri V. Nikiforov
• CFTC’s Proposed Interpretation of “Actual Delivery” for Virtual Currencies and its Potential Consequences to the Industry
  23 February 2018
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Blockchain Tokens and Initial Coin Offerings: New Year, New Perspective
  25 January 2018
  Morgan J. Hayes
  ,
  Byungkwon Lim
  ,
  Gary E. Murphy
• LabCFTC Primer: The CFTC’s Views on Regulation of Virtual Currencies
  22 November 2017
  Byungkwon Lim
  ,
  Gary E. Murphy
• Cryptocurrency in Russia: A Regulatory Framework on Its Way
  21 November 2017
  Byungkwon Lim
  ,
  Dmitri V. Nikiforov
• Bright Lines Don't Work for Blockchain Tokens
  17 October 2017
  Morgan J. Hayes
  ,
  Henry Lebowitz
  ,
  Byungkwon Lim
  ,
  Steven J. Slutzky
  ,
  Matthew E. Kaplan
• EU Developments in Uncleared Derivatives Margin Rules
  28 February 2017
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Banking Agencies’ Guidance on Compliance Date for Uncleared Swap Margin Rules
  24 February 2017
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC No-Action Letters on Uncleared Swap Margin Rules
  15 February 2017
  Byungkwon Lim
  ,
  Emilie T. Hsu
• No-Action Relief from Notice Filing Requirement under the CFTC Rules on Aggregation of Positions
  9 February 2017
  Byungkwon Lim
• Final CFTC Rules on Aggregation of Positions
  16 December 2016
  Byungkwon Lim
• CFTC Adopts Amendments Regarding CPO Reports
  9 December 2016
  Byungkwon Lim
  ,
  Gary E. Murphy
• Recent Notable CFTC and SEC Actions Relating to Swaps and Security-Based Swaps
  5 December 2016
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Proposes Rules on Cross-Border Application of Registration Thresholds and External Business Conduct Standards
  3 November 2016
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Final Report on Swap Dealer De Minimis Exception
  19 August 2016
  Byungkwon Lim
• CFTC Proposes Amendments on Registration Relief for Foreign CPOs, CTAs and IBs
  18 August 2016
  Byungkwon Lim
  ,
  Gary E. Murphy
• Final SEC Rules on Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
  8 August 2016
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Adopts Final Cross-Border Margin Rules for Non-Cleared Swaps
  30 June 2016
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Federal Reserve Proposes Rules Restricting Default Rights in Qualified Financial Contracts with GSIBs
  28 June 2016
  Byungkwon Lim
  ,
  Gregory J. Lyons
  ,
  Chen Xu
• Further Extension of No-Action Relief from Certain Reporting Requirements Under the Ownership and Control Final Rule
  3 May 2016
  Byungkwon Lim
• CFTC Eliminates Reporting and Recordkeeping Requirements for End-Users of Trade Options
  21 March 2016
  Byungkwon Lim
• CFTC Relief For Foreign CPOs Based On Incorrect Reasoning
  14 March 2016
  Law360
  Byungkwon Lim
  ,
  Gary E. Murphy
• SEC Final Cross-Border Rules on "Arranging, Negotiating, or Executing" Security-Based Swaps and the De Minimis Exception
  24 February 2016
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Registration Relief for Foreign CPOs and CTAs: Correct Result, Incorrect Reasoning?
  22 February 2016
  Byungkwon Lim
  ,
  Gary E. Murphy
• NFA Cybersecurity Notice Takes Effect March 1
  19 February 2016
  Byungkwon Lim
  ,
  Jim Pastore
  ,
  Gary E. Murphy
• SEC Proposes New Limits on Registered Funds’ and BDCs’ Use of Derivatives
  26 January 2016
  Kenneth J. Berman
  ,
  Byungkwon Lim
• CFTC Proposes Rules Providing an Alternative to Fingerprinting for Foreign Natural Persons
  8 January 2016
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Responds to Frequently Asked Questions Regarding Forms CPO-PQR and CTA-PR
  5 January 2016
  Byungkwon Lim
  ,
  Gary E. Murphy
• CFTC Adopts Margin Rules for Non-Cleared Swaps
  30 December 2015
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Proposes Rules Regulating Automated Trading
  16 December 2015
  Byungkwon Lim
• CFTC Issues Preliminary Report on Swap Dealer De Minimis Exception
  30 November 2015
  Byungkwon Lim
• Further Extension of Temporary No-Action Relief for Inter-Affiliate Swaps
  20 November 2015
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Bank Agencies Adopt Margin and Capital Rules for Non-Cleared Derivatives
  2 November 2015
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Proposed Revision to CFTC 2013 Proposal on Aggregation of Positions Under Part 150
  16 October 2015
  Byungkwon Lim
• CFTC Staff Interpretations Regarding Derivatives Clearing Organizations
  6 October 2015
  Byungkwon Lim
• In Two Recent Orders, CFTC Holds that Bitcoins Are Commodities
  5 October 2015
  Byungkwon Lim
  ,
  Emilie T. Hsu
• SEC Final Rules on Registration of Security-Based Swap Entities and Proposed Rules on Statutorily Disqualified Associated Persons
  21 September 2015
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Proposes to Reduce Reporting and Recordkeeping Requirements for End-Users of Trade Options
  5 May 2015
  Byungkwon Lim
• Amendments To U.S. Bank Capital and Other Rules To Address the Global Implementation of Special Resolution Regimes For Banks
  23 December 2014
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Grants Relief from Commodity Pool Operator Registration for Insurance-Linked Securities Issued by SPVs
  23 December 2014
  Byungkwon Lim
  ,
  Gary E. Murphy
• CFTC Amends No-Action Relief from Swap Clearing Requirement for Certain Treasury Affiliates
  5 December 2014
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Grants Family Offices No-Action Relief from registration as CTAs
  2 December 2014
  Byungkwon Lim
  ,
  Gary E. Murphy
• CFTC and SEC Proposed Interpretation Concerning Forward Contracts with Embedded Volumetric Optionality
  25 November 2014
  Byungkwon Lim
• CFTC Extends and Expands No-Action Relief for Swaps Executed as Part of Certain Package Transactions
  20 November 2014
  Byungkwon Lim
• CFTC Interpretation on Notification and Reporting Obligations of Swap Dealers and Major Swap Participants for Uncleared Swaps Margin
  20 November 2014
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Extends Temporary No-Action Relief for Swaps Between Eligible Affiliate Counterparties
  12 November 2014
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Provides No-Action Relief To Certain Delegating Commodity Pool Operators
  21 October 2014
  Byungkwon Lim
  ,
  Gary E. Murphy
• Debevoise & Plimpton Discusses SEC’s Proposed Rule on Security-Based Swap Notes
  17 October 2014
  The CLS Blue Sky Blog: Columbia Law School’s Blog On Corporations And The Capital Markets
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Questions and Answers on the Liquidity Coverage Ratio
  4 October 2014
  The Harvard Law School Forum On Corporate Governance and Financial Regulation
  Satish M. Kini
  ,
  Byungkwon Lim
  ,
  Gregory J. Lyons
  ,
  Chen Xu
• CFTC Excludes Certain Swaps with Utility Special Entities from Swap Dealer De Minimis Calculation
  3 October 2014
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Contractual Framework for Cleared Derivatives: The Master Netting Agreement between a Clearing Customer Bank and a Central Counterparty
  October 2014
  Pratt’s Journal of Bankruptcy Law
  Byungkwon Lim
• CFTC Issues Relief Regarding Insurance Company General Account Entities, CPO Use of Third-Party Recordkeepers, and Form CPO-PQR Filing Requirements
  24 September 2014
  Byungkwon Lim
  ,
  Gary E. Murphy
• Debevoise & Plimpton Discusses JOBS Act General Solicitations
  23 September 2014
  The CLS Blue Sky Blog: Columbia Law School’s Blog On Corporations And The Capital Markets
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Kenneth J. Berman
• SEC Proposed Rule for Treatment of Certain Communications of Security-Based Swap Quotes
  23 September 2014
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Questions and Answers on the Liquidity Coverage Ratio
  17 September 2014
  Satish M. Kini
  ,
  Gregory J. Lyons
  ,
  Byungkwon Lim
  ,
  Chen Xu
• Bank Prudential Regulators Seek New Comments on Proposed Capital and Margin Rules for Non-Cleared Swaps and Security-Based Swaps
  15 September 2014
  Byungkwon Lim
  ,
  Gregory J. Lyons
  ,
  Emilie T. Hsu
• CFTC Opens Door for Use of Jobs Act General Solicitations
  12 September 2014
  Kenneth J. Berman
  ,
  Byungkwon Lim
  ,
  Gary E. Murphy
• OCC’s Final “Heightened Expectations”: An Overview Focusing on How the OCC Responded to Industry Comments
  12 September 2014
  Satish M. Kini
  ,
  Byungkwon Lim
  ,
  Gregory J. Lyons
  ,
  Paul L. Lee
• CFTC’S DSIO Addresses the Treatment of Wholly-Owned Subsidiaries of Commodity Pools in No-Action Relief to Permit Consolidated Reporting
  11 September 2014
  Byungkwon Lim
  ,
  Gary E. Murphy
• SEC Final Rules on Cross-Border Application of Security-Based Swap Entity Definitions and Other Related Topics
  3 July 2014
  Byungkwon Lim
  ,
  Emilie T. Hsu
• SEC Chair White Sets Equity Market Structure Agenda
  30 June 2014
  Byungkwon Lim
• CFTC Streamlines Process to Delegate Commodity Pool Operator Authority
  21 May 2014
  Byungkwon Lim
  ,
  Gary E. Murphy
• Debevoise Discusses Temporary No-Action Relief for Swaps between Eligible Affiliate Counterparties
  21 March 2014
  The CLS Blue Sky Blog: Columbia Law School’s Blog On Corporations And The Capital Markets
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Temporary No-Action Relief for Swaps between Eligible Affiliate Counterparties
  10 March 2014
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Advisory on Gramm-Leach-Bliley Act Security Safeguards
  28 February 2014
  Byungkwon Lim
  ,
  Gary E. Murphy
• Recent CFTC Actions Relating to Mandatory Exchange-trading of Swaps
  27 February 2014
  Byungkwon Lim
  ,
  Emilie T. Hsu
• SEC Updates Form PF Guidance
  24 February 2014
  Kenneth J. Berman
  ,
  Jennifer J. Burleigh
  ,
  Michael P. Harrell
  ,
  Byungkwon Lim
  ,
  David J. Schwartz
  ,
  Rebecca F. Silberstein
• Swaps Subject to Mandatory Exchange-Trading: Update I
  31 January 2014
  Byungkwon Lim
• CFTC Staff Advisory on Commodity Trading Advisors and Swaps
  14 January 2014
  Byungkwon Lim
  ,
  Gary E. Murphy
• CFTC No-Action Relief and Request for Comment for Transaction-Level Requirements of Non-U.S. Swap Dealers
  9 January 2014
  Byungkwon Lim
  ,
  Emilie T. Hsu
• The Volcker Rule – An In-Depth Q&A about the Covered Funds Provisions
  7 January 2014
  Paul L. Lee
  ,
  Byungkwon Lim
  ,
  Gregory J. Lyons
  ,
  Satish M. Kini
• The Volcker Rule: An In-Depth Q&A about the Proprietary Trading Provisions
  6 January 2014
  Satish M. Kini
  ,
  Byungkwon Lim
  ,
  Gregory J. Lyons
  ,
  Paul L. Lee
• Reminder – Periodic Filing, Notice and Reporting Requirements for Private Equity Funds
  26 December 2013
  Marwan Al-Turki
  ,
  Kenneth J. Berman
  ,
  Jennifer J. Burleigh
  ,
  Michael P. Harrell
  ,
  Satish M. Kini
  ,
  Geoffrey Kittredge
  ,
  Jonathan F. Lewis
  ,
  Byungkwon Lim
  ,
  Andrew M. Ostrognai
  ,
  David J. Schwartz
  ,
  Rebecca F. Silberstein
  ,
  Steven J. Slutzky
  ,
  Gary E. Murphy
• CFTC Comparability Determinations and No-Action Relief for Certain Foreign Swap Dealers and Major Swap Participants
  24 December 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Mandatory Exchange-Trading for Swaps
  12 December 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Proposed CFTC Rules on Position Limits
  22 November 2013
  Byungkwon Lim
• Final CFTC Rules on Protection of Collateral for Uncleared Swaps and Cleared Swap Account in Bankruptcy‬
  8 November 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CTFC Issues Multiple No-Action Letters on Reporting and Business Conduct Rules
  September 2013
  Financial Fraud Law Report
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Adopts Harmonization Rules for Registered Investment Company CPOs; Amends Rules for all CPOs and CTAs
  30 August 2013
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Kenneth J. Berman
• CFTC Cross-Border Guidance, Temporary Exemptive Order and No-Action Letters
  24 July 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Issues Multiple No-Action Letters on Reporting and Business Conduct Rules
  3 July 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• No-Action Relief from Clearing Requirement for Swaps Entered into by Certain Treasury Affiliates
  7 June 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Notice Regarding the Effective Date of the CFTC Clearing Exemption for Swaps Between Certain Affiliated Entities
  7 June 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• SEC Proposed Cross-Border Rules and Guidance on Security-Based Swap Activities
  31 May 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• SEC’s Division of Trading and Markets Delivers a Message to Private Fund Sponsors about Potential Broker-Dealer Registration Issues
  18 April 2013
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  Byungkwon Lim
  ,
  Alan H. Paley
• SEC and CFTC Issue Final Rules on Identity Theft Protection
  16 April 2013
  Satish M. Kini
  ,
  Kenneth J. Berman
  ,
  Byungkwon Lim
• No-Action Relief for End-Users from Certain Swaps Reporting Requirements
  11 April 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Issues Time-Limited No-Action Relief for CPOs of Securitization Vehicles
  4 April 2013
  Byungkwon Lim
  ,
  Gary E. Murphy
• Final CFTC Rules on Clearing Exemption for Swaps between Certain Affiliated Entities
  4 April 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Grants Additional Temporary IB and CTA Registration Relief for Certain Persons
  1 April 2013
  Byungkwon Lim
• SEC Sanctions Private Fund Sponsor for Using Unlicensed Broker to Sell Private Fund Interests
  29 March 2013
  Kenneth J. Berman
  ,
  Michael P. Harrell
  ,
  Byungkwon Lim
• Swap Data Reporting by End-Users
  28 March 2013
  Byungkwon Lim
• Recent Developments Regarding CICI Requirements and Looming Deadlines for Compliance by End-Users of Swaps
  22 March 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
  ,
  Victoria G. J. Brown
• Proposed Amendments to NFA Rule 2-45 and Its Related Interpretive Notice for Member CPOs
  8 March 2013
  Byungkwon Lim
  ,
  Gary E. Murphy
• DOL Clarifies Role of Clearing Members in Cleared Swaps
  14 February 2013
  Jonathan F. Lewis
  ,
  Byungkwon Lim
• CFTC Extends Registration Relief and Grants Additional Relief for Certain Persons
  31 January 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Relief for Foreign-Owned U.S. Banks in Respect of Foreign Affiliates’ Swap Activities
  31 January 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Recent Compliance Guidance from the National Futures Association
  30 January 2013
  Byungkwon Lim
  ,
  Gary E. Murphy
• Further Guidance and Order with Respect to Cross-Border Application of CFTC Swap Regulation
  16 January 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• No-Action Relief for Compression Exercise Swaps and Compo Equity Swaps
  7 January 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Three No-Action Letters on Swap Reporting Obligations
  7 January 2013
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Issues No-Action Relief Regarding Investments in Securitization Vehicles and Pending Registration Applications
  28 December 2012
  Byungkwon Lim
  ,
  Gary E. Murphy
• Relief from Obligation to Provide Pre-Trade Mid-Market Mark for Certain Forex Transactions
  21 December 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Relief from Regulation 23.22(b) In respect of Certain Associated Persons
  21 December 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Temporary No-Action Relief for Bespoke Or Complex Swaps from Certain Reporting Requirements
  21 December 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Temporary No-Action Relief from Reporting Deadline for Swaps Subject to Post-Trade Allocations
  21 December 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Reminder – Periodic Filing, Notice and Reporting Requirements for Private Equity Funds
  20 December 2012
  Kenneth J. Berman
  ,
  Satish M. Kini
  ,
  Byungkwon Lim
  ,
  Rebecca F. Silberstein
  ,
  Steven J. Slutzky
  ,
  Gary E. Murphy
• CFTC Defers Compliance Dates for Many Business Conduct Rules for Swap Dealers and Major Swap Participants
  19 December 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Issues Interpretive Guidance and Registration Relief to Securitization Vehicles, mREITS, and BDCS
  14 December 2012
  Byungkwon Lim
  ,
  Gary E. Murphy
• Broker-Dealers Must File Private Fund Offering Documents in Certain ESC and Section 3(C)(1) Fund Offerings
  5 December 2012
  Michael P. Harrell
  ,
  Byungkwon Lim
• CFTC Grants No-Action Relief to Family Offices and Funds of Funds
  5 December 2012
  Byungkwon Lim
  ,
  Gary E. Murphy
• More Relief for Swap Dealers From Certain Swap Reporting Requirements and Political Contribution Prohibition
  29 November 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Treasury Secretary Exempts Certain Foreign Exchange Swaps and Forwards from the Swap Definition
  20 November 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Issues Further Guidance on Certain Commercial Agreements on Energy Commodities
  19 November 2012
  Byungkwon Lim
• Dodd-Frank Act Compliance Checklist for Swap End-Users
  13 November 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Temporary Relief to Swap Dealers and Major Swap Participants From Certain Recordkeeping Requirements
  31 October 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Issues Interpretations and No-Action Relief Regarding Eligible Contract Participant
  22 October 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Grants Temporary Relief From Inclusion of Certain Transactions in Determining SD, MSP, CPO or CTA Status
  19 October 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Grants Registration Relief for Certain Persons and Other Relief for Certain Associated Persons
  17 October 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Issues Interpretative Guidance to Equity REITs and Certain Securitization Vehicles
  16 October 2012
  Byungkwon Lim
  ,
  Gary E. Murphy
• Registration Deadlines Clarified For Swap Dealers And Major Swap Participants; Update On Deferral Of Certain Compliance Dates
  6 September 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Proposes Clearing Exemption for Swaps Between Certain Affiliated Entities
  28 August 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Swap Participants to get Temporary Legal Entity Identifiers from DTCC-SWIFT
  28 August 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Responds to Frequently Asked Questions – CPO/CTA: Amendments to Compliance Obligations
  17 August 2012
  Byungkwon Lim
  ,
  Gary E. Murphy
• CFTC Grants Temporary No-action Relief For Persons Eligible For The Trade Option Exemption From Certain Requirements Of Section 32.3 Of The CFTC Regulations
  16 August 2012
  Byungkwon Lim
• CFTC No-Action Relief: Temporary Relief From Aggregation Requirements of Position Limits Rules
  27 July 2012
  Byungkwon Lim
• CFTC Final Rules on End-User Exception and Proposed Rules on Cooperative Exception from Swap Clearing
  19 July 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Grants Temporary No-Action Relief for Non-Clearing Member Swap Dealers from Section 20.4
  19 July 2012
  Byungkwon Lim
  ,
  Gary E. Murphy
• CFTC Grants No-Action Relief Extending Compliance Date for CPO and CTA Registration
  16 July 2012
  Byungkwon Lim
  ,
  Gary E. Murphy
• CFTC Finalizes Extension and Modification to Previously Issued Exemptive Relief from Swap Regulations
  5 July 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Issues Proposed Guidance on the Cross-Border Application of the Commodity Exchange Act to Swap Transactions
  3 July 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Final Rules On Commodity Options
  July 2012
  Banking & Financial Services Policy Report
  Byungkwon Lim
• Apply for Your Legal Entity Identifier and Keep Your Swap Data: CFTC Issues Final Rules for Data Recordkeeping and Reporting for Historical Swaps
  15 June 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC and SEC Release Joint Final Rule on Key Entity Definitions in Title VII of the Dodd-Frank Act
  8 June 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Proposes Extension and Modification to Previously Issued Exemptive Relief from Swap Regulations
  14 May 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Final Rules on Commodity Options
  20 April 2012
  Byungkwon Lim
• Final Rules for Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
  5 April 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Final CFTC Rules on Business Conduct Standards for Swap Dealers and Major Swap Participants
  21 February 2012
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Amendments to CFTC Part 4 Regulations Regarding Commodity Pool Operators and Commodity Trading Advisors
  13 February 2012
  Byungkwon Lim
• CFTC Final Rules on Protection of Cleared Swaps Customer Contracts and Collateral and Conforming Amendments to the Commodity Broker Bankruptcy Provisions
  24 January 2012
  Byungkwon Lim
• Investment Adviser Social Media Risk Alert: You May Not “Like” This
  19 January 2012
  Kenneth J. Berman
  ,
  Byungkwon Lim
  ,
  Marcia L. MacHarg
• Swap Data Record-Keeping and Reporting Under CFTC Rule Part 45 and Real-Time Public Reporting Under CFTC Rule Part 43 for Swap Counterparties That are Not Swap Dealers or Major Swap Participants
  18 January 2012
  Byungkwon Lim
• Final CFTC Rule on Position Limits
  6 December 2011
  Byungkwon Lim
  ,
  Emilie T. Hsu
• SEC and CFTC Adopt Form PF for Registered Investment Advisers to Private Funds
  16 November 2011
  Kenneth J. Berman
  ,
  Byungkwon Lim
  ,
  Marcia L. MacHarg
• CFTC Proposes Amendments to Temporary Exemptive Relief
  3 November 2011
  Byungkwon Lim
  ,
  Emilie T. Hsu
• The Phases of Regulations: The CFTC Proposes Implementation Schedules for Clearing, Trade Execution, Trading Documentation and Margin Requirements
  19 September 2011
  Byungkwon Lim
  ,
  Emilie T. Hsu
• CFTC Releases Final Rule on Agricultural Swaps
  9 August 2011
  Byungkwon Lim
• SEC Releases Final Rule on Large Trader Reporting
  4 August 2011
  Byungkwon Lim
  ,
  Gary E. Murphy
• Calm Before the Storm - CFTC Proposes Temporary Exemptive Relief
  17 June 2011
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Release of Proposed Rules on Swap Capital and Margin Requirements Under Title VII of The Dodd-Frank Act
  28 April 2011
  Satish M. Kini
  ,
  Byungkwon Lim
  ,
  Gregory J. Lyons
  ,
  Emilie T. Hsu
• The Financial Institutions Report
  Volume 5, Number 4, April 2011
  Satish M. Kini
  ,
  Byungkwon Lim
  ,
  Gregory J. Lyons
  ,
  Emilie T. Hsu
  ,
  Nicholas F. Potter
• Registered Advisers to Private Funds Hit with New Risk Reporting on Form PF
  3 February 2011
  Kenneth J. Berman
  ,
  Byungkwon Lim
  ,
  Marcia L. MacHarg
• Proposed Amendments to Regulations on Commodity Pool Operators and Commodity Trading Advisors
  2 February 2011
  Byungkwon Lim
• A Defining Moment: SEC and CFTC Release Joint Proposed Rule on Key Definitions in Title VII of the Dodd-Frank Act
  28 December 2010
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Interim Final Rules for Swaps Reporting
  15 October 2010
  Byungkwon Lim
  ,
  Emilie T. Hsu
• The Financial Institutions Report
  Volume 4, Number 7, July 2010
  Wolcott B. Dunham, Jr.
  ,
  Satish M. Kini
  ,
  Nicholas F. Potter
  ,
  Byungkwon Lim
  ,
  Emilie T. Hsu
  ,
  Lawrence K. Cagney
  ,
  Alan H. Paley
  ,
  Kenneth J. Berman
  ,
  Paul L. Lee
  ,
  Gregory J. Lyons
• The Financial Institutions Report
  Volume 3, Number 2, Spring/Summer 2009
  Paul L. Lee
  ,
  Gregory V. Gooding
  ,
  Alexander R. Cochran
  ,
  Wolcott B. Dunham, Jr.
  ,
  Thomas M. Kelly
  ,
  Stuart Hammer
  ,
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Déjà Vu All Over Again: Proposal for Private Fund Adviser Registration
  17 July 2009
  Michael P. Harrell
  ,
  Kenneth J. Berman
  ,
  Marcia L. MacHarg
  ,
  Paul L. Lee
  ,
  Byungkwon Lim
• Financial Regulatory Reform: Implications for Hedge Funds and Alternative Investments
  19 June 2009
  Kenneth J. Berman
  ,
  Byungkwon Lim
  ,
  Emilie T. Hsu
• Increased Regulation of OTC Derivatives
  15 May 2009
  Byungkwon Lim
  ,
  Emilie T. Hsu
• The Proposed Hedge Fund Transparency Act: It’s Not Just for Hedge Funds
  2 February 2009
  Kenneth J. Berman
  ,
  Marcia L. MacHarg
  ,
  Michael P. Harrell
  ,
  Byungkwon Lim