New FX Code of Conduct -
The Foreign Exchange Working Group (FXWG), operating under the auspices of the Bank for International Settlements, has published a final version of its “FX Global Code” (the “Code”), a code of...more
BROKER-DEALER -
FINRA Issues Regulatory Notice on GASB Accounting Support Fee -
The Financial Industry Regulatory Authority announced that it will collect a total of $8,309,000 in 2017 from its member firms as part...more
On February 4, the European Securities and Markets Authority (ESMA) published a feedback statement declaring its current intentions not to propose a clearing obligation for non-deliverable forwards (NDFs) under the European...more
In this issue:
- ISS Announces Launch of QuickScore 3.0
- SEC Provides Relief to GSEC From Rule 204 Close-Out Requirements
- CFTC Extends Relief to FCMs from Certain Commingling Requirements
-...more
11/3/2014
/ Banks ,
CCPs ,
CFTC ,
Class Action ,
Commingling ,
Commodities ,
Compliance ,
EMIR ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Fixed Income Investments ,
Flood Insurance ,
Foreign Banks ,
Foreign Exchanges ,
Futures Commission Merchants (FCMs) ,
Institutional Shareholder Services (ISS) ,
OCC ,
Risk Retention ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
UK
On October 1 the European Securities and Markets Authority (ESMA) published a consultation paper on draft regulatory technical standards (RTS) for the mandatory clearing of certain foreign-exchange non-deliverable forwards...more