Swap Execution Facility Alleges in Lawsuit That Banks Conspired to Prevent Its Success: The TeraExchange, a swaps execution facility registered with the Commodity Futures Trading Commission, and related entities, brought a...more
CFTC Again Extends Deadlines for New OCR Compliance; Puts Pressure on FCM Clients Who Will Not Provide Adequate Information Regarding Trading Control -
Late last week, staff of the Division of Market Oversight of the...more
4/12/2016
/ Basel Committee on Banking Supervision (BCBS) ,
CFTC ,
Deadlines ,
Dodd-Frank ,
Enforcement Actions ,
Exchange-Traded Products ,
FSOC ,
Futures Commission Merchants (FCMs) ,
G20 ,
Leverage Ratio ,
MetLife ,
No-Action Relief ,
OCR ,
Oil & Gas ,
Reporting Requirements ,
SIFIs ,
Spoofing ,
United Arab Emirates (UAE)
Non-Recognition of US CCPs as Subject to Equivalent Regulation May Require European-Based Funds to Restrict Trading in US Centrally Cleared Derivatives -
An opinion by the European Securities and Markets Authority...more
6/2/2015
/ Banking Sector ,
Broker-Dealer ,
CCPs ,
CFTC ,
Chief Compliance Officers ,
Cybersecurity ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Markets ,
Forex ,
FSOC ,
Investment Funds ,
Price Manipulation ,
Securities ,
Securities Fraud ,
UCITS