IOSCO

News & Analysis as of

UK Financial Regulatory Developments - May 2016 #11

The Law Society responds to ESMA’s EU MAR consultation - The Law Society has published the Law Society and City of London Law Society Company Law Committees Joint Market Abuse Working Party’s response to ESMA’s...more

New Board at the International Organization of Securities Commissions

The International Organization of Securities Commissions announced that Mr. Ashley Alder had been appointed as the new Chair of the IOSCO board. Mr. Adler replaces Mr. Greg Medcraft, who has been chair for three years. Mr....more

Bridging the Week - May 2016 #3

Controller of FCM Named in CFTC Complaint, Along with Firm, for Failure to Timely Notify Commission of Segregation Breach: Cunningham Commodities, LLC, a futures commission merchant registered with the Commodity Futures...more

UK Financial Regulatory Developments - May 2016 #6

Industry associations agree cyber principles - ISDA, the European Banking Federation and the Global Financial Markets Association have published a set of common principles they hope will encourage effective global policy...more

Financial Industry Associations Agree on Common Cybersecurity Principles

On May 9, 2016, the International Swaps and Derivatives Association, the European Banking Federation, and the Global Financial Markets Association (comprised of three other industry associations, including the Securities...more

Industry Associations Publish Principles on International Cyber Security, Data and Technology

Several industry associations jointly published a paper titled International Cybersecurity, Data and Technology Principles and urged the Financial Stability Board and the International Organization of Securities Commissions...more

International Organization of Securities Commissions Recommends the Development of Guidelines to Combat Issues Arising from the...

The International Organization of Securities Commissions published its final report on the impact of storage infrastructures on the integrity of the price formation process of physically-delivered commodity derivatives...more

Derivatives: ISDA Announces 2016 New York Law Variation Margin Credit Support Annex

On April 14, 2016, the International Swaps and Derivatives Association, Inc. (ISDA) announced the 2016 ISDA Credit Support Annex for Variation Margin for use with New York law transactions (the 2016 CSA). ISDA is in...more

UK Financial Regulatory Developments - April 2016 #22

TCFD consults on forthcoming work - TCFD has launched a questionnaire seeking views to inform its thinking throughout the year whilst its recommendations are still under development. The consultation asks questions on...more

UK Financial Regulatory Developments - April 2016 #11

LSE updates AIM company rules to reflect EU MAR - LSE is consulting on an updated version of its Alternative Investment Market (AIM) rules for companies. These changes predominantly incorporate references to the incoming...more

International Report on Cyber Security in Securities Markets

The International Organization of Securities Commissions published a report on cyber security in securities markets from an international perspective. The purpose of the report is to assist IOSCO members and market...more

UK Financial Regulatory Developments - April 2016 #6

IOSCO updates information repository for OTC clearing - IOSCO has published an updated version of its information repository for central clearing requirements for over-the-counter (OTC) derivatives. The repository sets...more

APRA Consults On Margin Requirements And Other Risk Mitigation Standards For Non-Centrally Cleared OTC Derivatives

On 25 February 2016, the Australian Prudential Regulation Authority (APRA) published a discussion paper and a draft prudential standard setting out APRA’s proposals for implementing margin requirements and other risk...more

?Margin Requirements for Non-Centrally Cleared Derivatives Issued in Canada

The Office of the Superintendent of Financial Institutions (OSFI), Canada’s federal regulator of financial institutions, recently issued Guideline E-22 – Margin Requirements for Non-Centrally Cleared Derivatives? (Guideline)....more

Final European Standards for Derivatives Collateralisation

On 8 March 2016, the three European Supervisory Authorities (ESAs) published their final draft regulatory technical standards in relation to the collateralisation of non-centrally cleared derivatives. The standards are to...more

UK Financial Regulatory Developments - March 2016 #5

EBA reports on supervisory colleges - EBA has published its annual assessment of EU colleges of supervisors. The report assesses how colleges have functioned during 2015 and identifies key activities for the effective...more

UK Financial Regulatory Developments - March 2016 #1

IOSCO reports on risk in the securities markets - IOSCO has published the 2016 edition of its Securities Markets Risk Outlook report, identifying and examining key trends in global financial markets and the potential...more

The Financial Report - Volume 5, No. 4 - February 2016 (Global)

A recent federal district court decision and a proposed New York State Department of Financial Services regulation have further expanded the risk of liability for chief compliance officers, this time in the context of...more

ISDA Publishes Principles for US and EU Trading Platform Recognition

On February 24, the International Swaps and Derivatives Association Inc. (ISDA) published Principles for US/EU Trading Platform Recognition (Principles), which set out certain key principles and policy considerations that...more

Second Review of Implementation of the International Principles for Financial Benchmarks

The International Organization of Securities Commissions published its Second Review of the Implementation of IOSCO's Principles for Financial Benchmarks by Administrators of the Euro Inter-Bank Offer Rate, the London...more

UK Financial Regulatory Developments - February 2016 #16

IOSCO responds to global securities markets’ challenges - IOSCO has met to discuss and respond to the many ongoing and emerging challenges facing global securities markets. Participants talked about recent market...more

The Financial Report - Volume 5, No. 3 - February 2016 (Global)

Democratic presidential candidates Bernie Sanders and Hillary Clinton have been taking jabs at one another about who would do a better job of holding financial services firms and their employees responsible for misconduct....more

UK Financial Regulatory Developments - February 2016 #6

OBWG publishes open banking standard - The OBWG, set up at Treasury’s request, has set out an Open Banking Standard to guide how open banking data should be created, shared and used by its owners and those who access it....more

The Financial Report - Volume 5, No. 1 January 2016 (Global)

Discussion and Analysis Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, announced in FINRA’s 11th annual Regulatory and Examination Priorities Letter, published earlier this week, that...more

CPMI and IOSCO consult on harmonising UPI

BIS’ Committee on Payments and Market Infrastructure (CPMI) and IOSCO are consulting on a harmonised global unique product identifier (UPI). The UPI will uniquely identify OTC derivatives products that authorities require to...more

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