Regulatory Map
| 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.
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| February 2nd, 2012 | Commodity Futures Trading Commission and Securities and Exchange Commission Release Joint Report to Congress on International Swap Regulation The Commodity Futures Trading Commission and the Securities and Exchange Commission delivered to Congress a report on international swap regulation, as required by Section 719(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The provision requires the Commissions to report on how swaps are regulated in the United States, Asia, and Europe and to identify areas of regulation that are similar and other areas of regulation that could be harmonized.
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| January 30th, 2012 | ESMA Outlines Future Regulatory Framework for ETFs and other UCITS Issues ESMA publishes today a consultation paper (ESMA/2012/44) setting out future guidelines on UCITS Exchange-Traded Funds (UCITS ETFs) and other UCITS-related issues. The proposals cover both synthetic and physical UCITS ETFs and detail the obligations to come for UCITS ETFs, index-tracking UCITS, efficient portfolio management techniques, total return swaps and strategy indices for UCITS. |
| January 25th, 2012 | CFTC Releases Results of Limited Reviews of Futures Commission Merchants CFTC did not find any material breaches of customer funds protection requirements during the spot check |
| January 13th, 2012 | CFTC Approves Final Rules on Customer Collateral, Business Conduct for Swap Dealers & Major Swap Participants; Approves Proposed Volcker Rule (Fact Sheets via CFTC) Rules Final Rule on the Protection of Cleared Swaps Customer Contracts and Collateral and Conforming Amendments to the Commodity Broker Bankruptcy Provisions Final Rules Regarding Business Conduct Standards for Swap Dealers and Major Swap Participants Dealing with Counterparties |
| January 5th, 2012 | CFTC to Hold Open Meeting to Consider Three Final Rules, One Proposed Rule and a Delegation of Authority Order The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Wednesday, January 11, 2012, at 9:30 a.m., on the following topics: ◦ Final Rule: Registration of Swap Dealers and Major Swap Participants; ◦ Final Rule: Protection of Cleared Swaps Customer Contracts and Collateral: Conforming Amendments to the Commodity Broker Bankruptcy Provisions; |
| December 21st, 2011 | Application of Own Credit Risk Adjustments to Derivatives - Basel Committee Consultative Document The Basel Committee today issued a consultative document on the application of own credit risk adjustments to derivatives. |
| December 19th, 2011 | CFTC Issues Final Order Amending the Effective Date for Swap Regulation |
| December 16th, 2011 | ESMA Publishes an Updated Opinion on Waivers from Pre-trade Transparency This updated includes an opinion under article 18 (1)(A) of the MiFID. To view the text, please click here.
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| December 13th, 2011 | CFTC to Hold Open Meeting to Consider Three Final Rules The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Tuesday, December 20, 2011, at 9:30 a.m., on the following topics: (1) Final Rule on Real-Time Reporting of Swap Transaction Data; (2) Final Rule on Swap Data Recordkeeping and Reporting Requirements; and (3) Final Rule on Effective Date for Swap Regulation. The Meeting is open to the public. |
