Regulation & compliance
|October 21st, 2013||DerivSource Regulatory Update & Briefings in Paris & Frankfurt Nov 12th & 13th!
A series of afternoon briefings in Paris and Frankfurt November 12th &13th
|January 23rd, 2013||EU Council Publishes Proposed Amendments to RRD
|August 15th, 2012||Q4 in Focus – Compliance Readiness & the Need for Self- Assessment
|May 14th, 2012||Extraterritorial Compliance Becomes the ‘New Normal’ for Financial Institutions
· Extraterritorial laws such as FATCA, Dodd-Frank, Sarbox, Solvency II are growing in number and intensity
· Almost half (45%) of financial institutions in a new survey say that extraterritorial compliance now accounts for between 10-25% of compliance budget
|February 23rd, 2011||Exploring Title VII of the Dodd-Frank Act & the Impact on Margin Posed by End Users
The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) continue to issue regulations implementing the OTC derivatives provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank). In a Q&A, Robin Powers of the Rimon Law Group discusses Title VII of Dodd-Frank and its impact on margin/collateral posed by End-Users.
|February 22nd, 2011||ESMA nominates Verena Ross Executive Director
The Board of Supervisors (BoS), ESMA’s decision taking body made up of 27 voting members, nominated Verena Ross today, for the post of ESMA’s first Executive Director, subject to confirmation by the European Parliament. The Executive Director will be entrusted with the day-to-day management of ESMA. According to the Regulation establishing ESMA, the Executive Director will serve a term of five years, renewable once.
|January 21st, 2011||SEC Approves New Rules Regulating Asset-Backed Securities
The Securities and Exchange Commission today voted to adopt two sets of new rules designed to help revitalize the important asset-backed securities (ABS) market by encouraging better disclosure for investors.
|November 15th, 2013||Kinetic Partners Unveils AIFMD Hedge Fund Depositary Due Diligence (DD) Checklist
Kinetic Partners has today unveiled its ‘AIFMD Hedge Fund DD checklist’. Hedge fund managers will need to undertake due-diligence over their depositary providers and this checklist has been designed to assist managers undertake the necessary depositary due diligence.
|October 16th, 2013||Kinetic Partners Unveils AIFMD Checklist
Kinetic Partners has today unveiled its ‘AIFMD checklist’. The checklist is for use by compliance and risk departments within both full-scope Alternative Investment fund managers (AIFMs) and small authorised/registered UK AIFMs. It has been designed to give firms an accurate picture of their progress along the road to meeting the AIFMD regulations.
|August 20th, 2013||ISDA Outlines Approach on Cross-Border Issues: Principles Address Inter-jurisdictional Recognition of Derivatives Regulation
Keep up with current regulatory reform activities with this reference guide. Derivsource's Derivatives Regulation Timeline
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