Open for Business: SEFs Navigate the New Regulatory Environment [Video]

Swap execution facilities (SEFs) were given life by the Dodd-Frank Act, which requires over-the counter (OTC) swaps to be cleared and traded on this new type of regulated platform. The CFTC published its final SEF rules in…more

| Finance & Banking, Securities Law

CFTC’s Scott O’Malia Calls for a Plan of Action on Swap Data [Video]

New Dodd-Frank rules have allowed regulators their first look into swap data repositories, but the quality of swap data is not always up to par. In fact, it has been called “a mess” by CFTC Commissioner Scott O’Malia, who also…more

| Finance & Banking, Securities Law

A Look at Forensic Accounting and Financial Fraud [Video]

In the aftermath of the Peregrine Financial Group fraud, many wondered how it could have happened and how forensic accounting works after a fraud occurs. On June 20, John Lothian News president and editor-in-chief Jim Kharouf…more

| Finance & Banking, Securities Law

London: Minding the Regulation Gap [Video]

Part of our special report on London as a financial center: This video (one of five in the series) focuses on the regulatory environment in London. London has long been seen as THE global financial…more

| Finance & Banking, Securities Law

NFA Chairman Chris Hehmeyer Talks Bankruptcy Reform [Video]

One of the issues that emerged from the MF Global collapse was the complex and often frustrating US bankruptcy process. In the case of MF Global, futures customers’ claims were lumped in with other creditors. As such, it took…more

| Bankruptcy, Finance & Banking, Insurance, Securities Law

An Update on SEF, IDB and Swap Regulation from Chris Ferreri of ICAP [Video]

Chris Ferreri is a managing director at ICAP North America, where he oversees ICAP ETC, the company’s hybrid brokered OTC solution. He was the first chairman of the Wholesale Markets Brokers’ Association Americas Inc. (WMBA…more

| Finance & Banking, Securities Law

Jill Sommers Reflects on the CFTC, Dodd-Frank, and Her Future [Video]

Jill Sommers, Commissioner of the Commodity Futures Trading Commission (CFTC), is stepping down after the first quarter of this year. Sommers spoke with JLN editor-in-chief Jim Kharouf about the progress of Dodd-Frank, position…more

| Finance & Banking, Securities Law

Confirmations: NFA and CME’s Financial [Video]

Watch the Restoring Customer Confidence video series: About this solution: The fraud at Peregrine Financial Group was uncovered in July 2012 by the National Futures Association (NFA) which used an…more

| Finance & Banking, Securities Law

Confirmations: Plugging Into Electronic Confirmations [Video]

Watch the Restoring Customer Confidence video series: About this solution: Capital Confirmation, which runs, is credited with helping to unveil the massive $215 million fraud at…more

| Finance & Banking, Securities Law

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