IOSCO

News & Analysis as of

G20 Leaders Publish Communique 

The G20 Leaders have published a Communique from the Summit held in Germany. The G20 Leaders reiterated their commitment to finalizing the remaining elements of the financial sector reform agenda and to conducting a...more

Financial Stability Board Consults on Unique Transaction Identifier Governance Arrangements

The Financial Stability Board began a consultation on draft governance arrangements for the Unique Transaction Identifier. The UTI is a critical element for the production and sharing of global aggregated derivatives...more

Final Global Guidance on Unique Transaction Identifier Published

The Committee on Payments and Market Infrastructures and the International Organization of Securities Commissions have published Technical Guidance on the harmonization of the Unique Transaction Identifier. The development of...more

Funds Bulletin - February 2017

Funds Bulletin (a monthly round-up of topical legal, regulatory and tax issues affecting the fund industry). Features our summary of the FSCP's position paper on the impact of Brexit on financial services consumers, as well...more

Financial Stability Board Targets Fund Finance

In marked contrast to the emerging U.S. deregulatory climate, the G-20’s Financial Stability Board (FSB) has issued Policy Recommendations for the regulation of four “structural vulnerabilities” in the asset management...more

Regulators Prepare for Innovation in Distributed Ledger Technology

Regulators across the globe are considering how existing regulations may accommodate the development of new distributed ledger technologies (“DLT”) (also known as “blockchain”). In just the first two months of 2017, the U.S....more

Orrick's Financial Industry Week In Review

CFTC Indicates Willingness to Help Incubate Fintech - On February 21, 2017, J. Christopher Giancarlo, the acting chairman of the U.S. Commodity Futures Trading Commission ("CFTC"), has diverged from other U.S. federal...more

ESAs and IOSCO Publish Statements on Variation of Margin Exchange under EMIR

On February 23, 2017, the Joint Committee of European Supervisory Authorities (“ESAs“) published a statement on variation margin exchange under the EMIR regulatory technical standards (“RTS“) on risk mitigation techniques for...more

Regulators Issue Guidance on Approach to Non-compliance with the Impending Variation of Margin Exchange Requirement

The European Supervisory Authorities, the Financial Conduct Authority, the US prudential regulators, including the Federal Reserve Board and the Office of the Comptroller of the Currency, and the International Organization of...more

US SEC and Hong Kong SFC Sign New Memorandum of Understanding

The US Securities and Exchange Commission (SEC) and the Hong Kong Securities and Futures Commission (SFC) have signed a Memorandum of Understanding (MOU) which came into effect on January 18, 2017. The subject of the MOU is...more

"Regulators Provide Some Flexibility on the Swaps Variation Margin Compliance Deadline"

On February 23, 2017, U.S. federal banking regulators (Prudential Regulators), European regulators and the International Organization of Securities Commissions (IOSCO) issued statements clarifying their expectations on...more

Global Loan Fund Survey Reveals No Regulatory Action Required at Present

The International Organization of Securities Commissions published a report on the findings of the survey on loan funds that was carried out during 2016. The report covers loan funds in the area of investment funds and...more

The promise of FinTech - More regulatory pointers

Earlier this month, we discussed the key results and considerations from IOSCO's updated survey on the use of automated investment advice. IOSCO noted that technology tools will affect all elements of the advice value chain...more

International Organization of Securities Commissions Publishes FinTech Research Report

The International Organization of Securities Commissions published a research Report on financial technologies, or FinTech – innovative business models and emerging technologies that have the potential to transform the...more

The Financial Report, Volume 6, Number 3

The Ninth Circuit Court of Appeals in San Francisco is poised to rule on, with respect to President Donald Trump’s recent executive order on immigration, the question of how much power a president has to issue executive...more

Bridging the Week - February 2017 #2

Retail Foreign Exchange Dealer Agrees With CFTC and NFA to Cease Doing Business for Concealing Relationship With Closely Tied Market Maker - Forex Capital Markets, LLC, a retail foreign exchange dealer, and two of its...more

Financial Stability Board Issues Activities-Based Recommendations for the Global Asset Management Industry

The FSB continues to plan to revisit whether there are residual entity-specific sources of systemic risk that cannot be addressed effectively by market-wide activities-based policies that would support global systemically...more

IOSCO weighs in on the growth of robo-advice

7 At the end of December 2016, the International Organisation of Securities Commissions (IOSCO) published an update to its July 2014 Report on the IOSCO Social Media and Automation of Advice Tools Surveys The aim of the...more

Corporate and Financial Weekly Digest - Volume XII, Issue 4

SEC Updates to Form PF FAQs - On January 18, the Securities and Exchange Commission’s Division of Investment Management updated its Form PF FAQs. Registered investment advisers managing private funds with at least $150...more

European Margin Rules for Non-cleared OTC Derivatives – The Margin Big Bang

After a six-month delay, the rules governing the mandatory posting of collateral for uncleared derivatives entered into force on 4 January 2017. By 1 March 2017, all in-scope counterparties will be obliged to post variation...more

Financial Stability Board Publishes Final Recommendations to Address Structural Vulnerabilities from Asset Management Activities

The Financial Stability Board published a report on policy recommendations to address structural vulnerabilities from asset management activities. The FSB recommendations aim to address four structural vulnerabilities from...more

International Organization of Securities Commission Publishes Final Report on Benchmark Regulation

The International Organization of Securities Commission published its final Report outlining Guidance on reporting in compliance with its Principles for Financial Benchmarks. The purpose of the Guidance is to increase the...more

The Deadline for Compliance With the U.S. Variation Margin Rules Is Approaching! Are You Ready?

The requirement that non-cleared swaps be fully margined, which is one of the last pillars of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), will take effect for “financial end-users”...more

Investment Funds Update - Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

ALFI Response to IOSCO Consultation Report on Good Practices for the Termination of Investment Funds - ALFI responded to the IOSCO Consultation Report on Good Practices for the Termination of Investment Funds which...more

International Organization of Securities Commissions Consults on Other Products and Services Offered by Credit Rating Agencies

The International Organization of Securities Commissions published a consultation paper on the use of non-traditional products or services offered by credit rating agencies. ...more

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