ISDA DODD-FRANK PROTOCOL 2.0 DF Protocol 2.0 (or the March DF Protocol) is intended to address the requirements of three rules finalized in the latter half of 2012, too late to be covered by the August DF Protocol. More specifically, DF Protocol 2.0 addresses (a) the end-user exceptionto the clearing requirement for swaps; (b) the clearing requirement…

Rimon’s John Isaza will be speaking on an interactive panel at ARMA’s 2013 Annual Spring RIM Seminar in Southern California. The panel discussion will detail some best practices for implementing RIM Governance in organizations (impact on policy, process, change management, legal/regulatory compliance, and department collaboration). Each of the panelists, John Isaza, Art Bellis, and Norman…

The United States Senate has passed a bill that will require remote retailers (including those in foreign countries) to collect sales and use taxes across the United States.[1]  The bill has the “strong support” of the White House, as well as the backing of the states, America’s largest retailers and a variety of trade organizations. …

The Commodity Futures Trading Commission (CFTC) has issued a time limited ‘No Action’ letter that exempts Prime Brokers from certain aspects of Dodd-Frank rules. There had been widespread concern that Prime Brokers would be required to comply with the obligation to disclosure of the mid-market mark. The CFTC No Action letter recognized that the prime broker would…

A list of provisionally registered swap dealers is listed below. This list is current as of April 1, 2013. AUSTRALIA AND NEW ZEALAND BANKING GROUP LTD BANCO BILBAO VIZCAYA ARGENTARIA SA BANK OF AMERICA NA BANK OF MONTREAL BANK OF NEW YORK MELLON THE BANK OF NOVA SCOTIA THE BANK OF TOKYO MITSUBISHI UFJ LTD…

In 2011, the department of a company whose records and information were distributed across shared drives, hard copy files, public email accounts, thumb drives, and iPads (to name a few) had its first ever needs assessment. This session explores the methodology used to conduct this early needs assessment, followed by a discussion of how that…

The American Bar Association Journal extensively quotes Rimon Partner John Isaza on the legal need for law firms to set an up-to-date records retention schedule. That schedule needs to: Define what your organization calls a record. Apply a robust records retention policy only to what your organization deems to be a record. Set a time…

The future of Records and Information Management continues to evolve and expand rapidly. This full-day workshop will focus on utilizing ARMA’s Generally Accepted Record Keeping Principles, and the Principles Marturity Model to assess the health of records and information management programs. Join Rimon’s John Isaza in learning the tactics and strategies for improving their program…

The following banks/dealers are the first to register as swap-dealers under the Dodd-Frank Act, which requires higher capital, collateral and trading standards.  The list, which is expected to grow, reflects companies that had at least $8 billion in swap-dealing business in October and had to register by the end of last year. CFTC list of…

Investment advisers registered with the U.S. Securities and Exchange Commission (the “SEC”) have certain annual requirements under the U.S. Investment Advisers Act of 1940 (the “Advisers Act”). Some of these requirements may also apply to “exempt reporting advisers” or warrant consideration as best practices. This memo summarizes certain annual regulatory and compliance obligations, including a…