All posts tagged "CFTC"
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653Asia-PacificVideo: Asia Works to Harmonise Derivatives Reporting: A DTCC View
Regulation Asia sat down with DTCC's Oliver Williams to discuss the challenges, risk factors, and opportunities in the OTC derivatives reporting space for 2020.
February 24, 2020 -
343Capital RegulationFurther Volcker Rule Easing Proposed, Despite Dissenting Voices
The proposed revisions seek to relax the Volcker Rule's general prohibition on banks investing in hedge funds, private equity funds and credit funds.
February 1, 2020 -
276Australia & NZCFTC Penalises Australian Firm for Spoofing by Former Trader
The CFTC has ordered Propex Derivatives to pay $1mn, comprising restitution, disgorgement, and a civil monetary penalty. The DOJ has also entered a deferred prosecution agreement with the firm.
January 23, 2020 -
450Fintech / RegtechFormer CFTC Chair Launches Digital Dollar Project with Accenture
The Digital Dollar Project is a multi-stakeholder initiative to explore options for creating a US dollar CBDC, which would coexist with other Federal Reserve liabilities.
January 20, 2020 -
267EnforcementCFTC Penalises Mirae Asset Daewoo on Spoofing Charges
Mirae Asset will pay $700,000 to settle charges against Daewoo Securities, which it acquired in April 2016 — after the spoofing conduct at issue occurred.
January 15, 2020 -
533EnforcementCFTC Charges HSBC Exec with Manipulation, Fraud
The former head of HSBC's North American interest rates business allegedly manipulated prices for five-year basis swaps used to price a bond issuance and a related swap.
December 24, 2019 -
297EnforcementCFTC Fines Goldman $1mn for Three Weeks of Missing Phone Records
Goldman’s phone recording hardware failed in January 2014 an went undetected for three weeks, thereby impeding an unrelated CFTC investigation.
November 28, 2019 -
582InternationalA Liquid Global Swaps Market Relies on Deference: CFTC’s Quintenz
Market fragmentation poses serious risks to the liquidity and health of the derivatives markets, said CFTC commissioner Brian Quintenz at the ISDA Annual Japan Conference.
October 29, 2019 -
463InternationalFSB Reports on OTC Derivatives Reform Progress
Comprehensive trade reporting requirements are in force in 23 of 24 FSB member jurisdictions, and authorities are increasingly making use of trade repository data.
October 17, 2019 -
280Capital Regulation
Volcker Rule Rewrite Gets Final Approval After Fed Sign-off
The revisions continue to prohibit proprietary trading, while providing greater clarity and certainty for activities allowed under the law.
October 10, 2019
