Regulation & compliance
|December 10th, 2012||December 2012 Quarterly Review: Policy measures and reduced short-term risks buoyed markets
Full report and details via press release: http://www.bis.org/press/p121210.htm
|December 6th, 2012||OTC Documentation: Challenges & Solutions For Regulatory Compliance & Operational Efficiency
Kevin Thorogood, Global Head of Capital Markets at Thunderhead.com talks to DerivSource about the challenges firms face as they transform over-the-counter-derivatives (OTC) trade documentation to comply with new regulatory requirements. He addresses the problems posed by adjusting workflow and infrastructure models as well as the importance of sound relationship documentation and legal processes.
|December 4th, 2012||Joint Press Statement of Leaders on Operating Principles and Areas of Exploration in the Regulation of the Cross-border OTC Derivatives Market
Leaders of authorities with responsibility for the regulation of the over-the-counter (OTC) derivatives markets in Australia, Brazil, the European Union, Hong Kong, Japan, Ontario, Quebec, Singapore, Switzerland and the United States,1 met on November 28, 2012 to discuss reform of the OTC derivatives market as agreed by the leaders at the G-20 Pittsburgh Summit in September 2009.
Full details via press release: http://www.cftc.gov/PressRoom/PressReleases/pr6439-12
|November 29th, 2012||CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Amended No-Action Letter on the Pay-to-Play Rules for Swap Dealers Conducting Business with Certain Governmental Special Entities
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued an amended no-action letter addressing the pay-to-play rules applicable to swap dealers who conduct business with certain governmental special entities.
Full details via press release: http://www.cftc.gov/PressRoom/PressReleases/pr6433-12
|November 29th, 2012||Catalyst Issues Client Guidance on CRD IV
Clients urged to assess long term trading strategies – or risk being forced into a decision by the market
|November 28th, 2012||CFTC Issues Clearing Determination for Certain Credit Default Swaps and Interest Rate Swaps
Commission Requires First Swaps to be Cleared
Full press release: http://www.cftc.gov/PressRoom/PressReleases/pr6429-12
|November 28th, 2012||CFTC’s Division of Clearing and Risk Issues Time-Limited No-Action Relief from Required Clearing for Swaps entered into by Certain Cooperatives
The Commodity Futures Trading Commission’s Division of Clearing and Risk (DCR) today announced the issuance of a time-limited, no-action letter granting relief from required clearing under section 2(h)(1)(A) of the Commodity Exchange Act and the Commission’s newly adopted Part 50 regulations for certain swaps entered into by qualifying cooperatives.
Full press release: http://www.cftc.gov/PressRoom/PressReleases/pr6431-12
|November 27th, 2012||Margin Requirements on Non-Centrally Cleared Swaps Could Increase Risk, According to ISDA Analysis
Association Issues Margin Analysis and Urges Regulators to Resolve Extraterritoriality Issues
|November 22nd, 2012||Lombard Risk Announces ComplianceASSESSOR to Address Regulatory
Lombard Risk Management plc (LSE: LRM) (“Lombard Risk”), a leading provider of integrated collateral management and liquidity, regulatory and MIS reporting solutions for the financial services industry, is pleased to announce ComplianceASSESSORTM – a powerful compliance and audit application designed to enable firms to determine, achieve and maintain compliance with all applicable laws and regulations irrespective of jurisdiction.
|November 21st, 2012||CFTC to Hold Open Meeting to Consider Clearing Requirement Determination
The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Thursday, November 29, 2012, at 11:00 a.m., to consider Clearing Requirement Determination under Section 2(h) of the Commodity Exchange Act (CEA).
Full details via press release: http://www.cftc.gov/PressRoom/PressReleases/pr6418-12
Keep up with current regulatory reform activities with this reference guide. Derivsource's Derivatives Regulation Timeline
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