Regulation & compliance
|October 22nd, 2012||CFTC Issues Final Interpretative Guidance to Clarify Foreign Regulators Indemnification and Confidentiality Obligations
The Commodity Futures Trading Commission (Commission) today issued final Interpretative Guidance to, under certain circumstances, exempt foreign regulators from the indemnification and confidentiality provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
Full press release: http://www.cftc.gov/PressRoom/PressReleases/pr6394-12
|October 22nd, 2012||SEC Adopts Standards for Risk Management and Operations of Clearing Agencies
The Securities and Exchange Commission today adopted a rule that establishes standards for how registered clearing agencies should manage their risks and run their operations.
Full press release: http://www.sec.gov/news/press/2012/2012-215.htm
|October 19th, 2012||CFTC to Hold Open Meeting to Consider a Notice of Proposed Rulemaking on Enhancing Customer Protections
The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Thursday, October 25, 2012, at 1:00 p.m., to consider a Notice of Proposed Rulemaking on Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations.
Full details via press release: http://www.cftc.gov/PressRoom/PressReleases/pr6392-12
|October 4th, 2012||CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Guidance on Segregated and Secured Funds Maintained in a Combined Omnibus Account
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today released a letter providing guidance to registered futures commission merchants (FCMs).
Full press release: http://www.cftc.gov/PressRoom/PressReleases/pr6377-12
|October 1st, 2012||Implementation of Capital Standards: Assessment Reports Published by Basel Committee
The Basel Committee on Banking Supervision has today published three reports assessing the rules that will implement Basel III in the European Union, Japan and the United States.
Full press release: http://www.bis.org/press/p121001.htm
|September 28th, 2012||ESMA Defines Standards for Derivatives and CCPs
The European Securities and Markets Authority (ESMA) has today published its technical standards on the Regulation on OTC derivatives, central counterparties and trade repositories (EMIR), which set out the specific details of how EMIR’s requirements are to be implemented.
See full press release for details: http://www.esma.europa.eu/system/files/2012-606_1.pdf
|September 27th, 2012||New SimCorp StrategyLab White Paper Authored by CEB TowerGroup Highlights Buy-side Impact of OTC Derivatives Reform
Regulations like Dodd-Frank and EMIR will profoundly impact capital markets industry and prompt an expected USD 6.7bn IT spend over 2011-2013
|September 26th, 2012||CFTC’s Division of Clearing and Risk Issues Extension of Time for Compliance from Certain Pre-Trade Screening Requirements
The Commodity Futures Trading Commission’s (CFTC) Division of Clearing and Risk (DCR) today announced an extension of time for compliance in order to provide additional time for market participants to coordinate on the communication of limits for give-ups and bunched orders for futures and swaps.
Full press release: http://www.cftc.gov/PressRoom/PressReleases/pr6366-12
|September 21st, 2012||CFTC Approves DTCC's Swap Data Repository
The Depository Trust & Clearing Corporation (DTCC) announced today that the Commodity Futures Trading Commission (CFTC) has provisionally approved an application by DTCC Data Repository (U.S.) LLC (DDR) to create and operate a multi-asset class swap data repository (SDR) in the U.S.
|September 5th, 2012||CFTC to Hold Open Meeting to Consider Proposed Rules on Enhancing Customer Protections and Final Rules on Adaptation of Existing Regulations to Incorporate Swaps
The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Wednesday, September 12, 2012, at 9:30 a.m., to consider:
Full details via press release: http://www.cftc.gov/PressRoom/PressReleases/pr6344-12
- Opinion & Analysis
- Careers & People
- Events & Podcasts
- About Us