Countdown to March 1, 2017: Derivatives Trading Regulatory Compliance Checklist

January 26, 2017

The first two months of 2017 present several important new regulatory deadlines potentially affecting all asset managers that trade derivatives subject to U.S. regulation. Certain deadlines potentially will apply to all derivatives traders whether or not the asset manager is a member of the National Futures Association (NFA) and registered with the U.S. Commodity Futures Trading Commission (CFTC) as a commodity pool operator (CPO) or commodity trading advisor (CTA).

The Financial Services Group will publish an update to its annual Dechert OnPoint, Reminder: Certain U.S Reporting and Compliance Obligations for Investment Advisers and Funds, to provide a general overview of requirements that may affect investment advisers and funds. This separate Derivatives Trading Regulatory Compliance Checklist focuses on specific new deadlines and several developments implicating regulations already in effect, which will require advance planning (including business-level input) and, in some cases, could cause trading disruptions if deadlines are not met.

Read "Countdown to March 1, 2017: Derivatives Trading Regulatory Compliance Checklist."