Category Archives: Uncategorized

Final Rule – Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; FCM and Introducing Broker Conflicts of Interest Rules; and CCO Rules for Swap Dealers, Major Swap Participants, and FCMs

The U.S. Commodity Futures Trading Commission has published the following final rule to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act: 17 CFR Parts 1, 3, and 23 Swap … Continue reading

Posted in CFTC, Dodd-Frank, Regulation, Uncategorized

Lawrence and Healey Release Best Practices on FERC Enforcement and Regulatory Considerations for Investments

On February 10, Cadwalader co-hosted the Martindale-Hubbell® Counsel to CounselSM Forum on Energy/Renewable Energy: Managing Energy from FERC to the EPA. Following the informative roundtable discussion, Gregory Lawrence and Terence Healey released the articles presented at the forum, which cover … Continue reading

Posted in Enforcement and Investigations, Events, FERC, Regulation, Uncategorized

Chapter 9 Bankruptcy Strategies: A Big Stick, Rarely Used

Cadwalader partners John Rapisardi, Lary Stromfeld, Doug Mintz, Terence Workman and Tim Brown have authored “Chapter 9 Bankruptcy Strategies: A Big Stick, Rarely Used,” a chapter excerpt from Inside the Minds: Chapter 9 Bankruptcy Strategies, a Thomson Reuters/Aspatore publication. This excerpt focuses on … Continue reading

Posted in Articles, Uncategorized

MiFID on Client Categorisation and Transactions with ‘Eligible Counterparties’ – and – Organised Trading Facilities

By Doron Ezickson, Nick Shiren, Alix Prentice, Adam Topping, and Ramona Simms This is the fourth in our series of briefings on MiFID and MiFIR. In this alert, we describe the proposed changes to the current client classification regime, and … Continue reading

Posted in Commodity Trading, MiFID, MiFIR, Regulation, Uncategorized

FERC to Hold Technical Conference to Address Reliability

The Federal Energy Regulatory Commission (“FERC” or “Commission”) announced that it will hold a technical conference, open to the public, on November 29, 2011 from 1:00 p.m. to 5:00 p.m. and on November 30, 2011 from 9:00 a.m. to 4:00 … Continue reading

Posted in EPA, FERC, Power, Regulation, Uncategorized

Join Paul Pantano at the National Forum on Energy Trading Compliance & Regulatory Enforcement, November 17-18

National Forum on Energy Trading Compliance & Regulatory Enforcement November 17-18, 2011 The Washington Marriott 1221 22nd Street NW Washington, DC  20037 +1 202 872 1500 Presented by The American Conference Institute Head of Cadwalader’s Energy & Commodities Group, Paul … Continue reading

Posted in Enforcement and Investigations, Events, Regulation, Uncategorized

Energy Risk Magazine Profiles Cadwalader’s Gregory Mocek

Former Director of Enforcement for the CFTC and Cadwalader partner, Gregory Mocek, speaks to Energy Risk Magazine’s Pauline McCallion about the new regulatory environment and his lifelong interest in commodities.  read the full article on

Posted in Articles, CFTC, Dodd-Frank, Enforcement and Investigations, Regulation, Uncategorized

SEC, CFTC Staffs to Host Roundtable to Discuss International Issues Relating to Dodd-Frank Act Title VII Implementation

August 1, 2011 9:00 a.m. – 4:00 p.m. ET CFTC’s Headquarters Conference Center Three Lafayette Centre, 1155 21st Street NW Washington, D.C. The staffs of the Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) will hold a … Continue reading

Posted in Uncategorized