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Reminder: Swaps Compliance Dates for Commodity Pool Operators and Investment Fund Managers

By Craig Stein, Bryan Daly & Jacob Preiserowicz on May 31, 2013
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Given the large number of regulatory developments coming from the Commodity Futures Trading Commission, the National Futures Association and other regulatory agencies, we have compiled a short list of important recent and upcoming deadlines facing commodity pool operators and investment advisers. Along with each deadline, the list provides a concise summary of certain actions that may need to be taken and the relevant guidance provided by the applicable regulator.

Click here to view the list.

Photo of Bryan Daly Bryan Daly

Bryan Daly is a partner in the Governmental and White Collar Defense Practice Groups and works out of the firm’s Los Angeles office. Bryan is a former Assistant U.S. Attorney for the Central District of California, Criminal Division, Public Corruption and Government Fraud…

Bryan Daly is a partner in the Governmental and White Collar Defense Practice Groups and works out of the firm’s Los Angeles office. Bryan is a former Assistant U.S. Attorney for the Central District of California, Criminal Division, Public Corruption and Government Fraud Section.

Read more about Bryan DalyEmail
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  • Posted in:
    Banking, Finance and Securities
  • Blog:
    Regulatory & Compliance Update
  • Organization:
    Schulte Roth & Zabel LLP

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