All posts tagged "CFTC"
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224InternationalFSB 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 -
190Capital RegulationVolcker 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 -
437InternationalCFTC Proposals on Foreign CCPs Can be Improved: WFE
While the WFE welcomes the CFTC proposals as a step towards reducing regulatory fragmentation, it says they can be made more risk-sensitive and better tailored to today’s markets.
September 26, 2019 -
450EuropeUS, UK Agencies Work to Clean Up Credit Derivatives Market
In a joint statement, the SEC, CFTC and FCA have pledged to work together to address “opportunistic strategies" that harm the credit derivatives market.
September 24, 2019 -
410EuropeISDA Issues Guidance on Executing Trades on Recognised Venues
The guides describe how cross-border trading will work following the CFTC-MAS, CFTC-FSA and EC-MAS agreements on mutual recognition of derivatives trading venues.
September 23, 2019 -
437Capital RegulationUS Regulators Approve Easing of Volcker Rule
Two of five US agencies have approved the Volcker Rule revamp, which aims to simplify its requirements and give banks more flexibility to trade.
August 21, 2019 -
664FeatureCFTC Eases Foreign Clearinghouse Access to US Customers
An alternative compliance regime will be provided for non-US DCOs registered with the CFTC, while exempt DCOs will be allowed to offer clearing through foreign intermediaries.
July 15, 2019 -
1.1KJapan
Japan FSA, CFTC Agree to Mutually Recognise Derivatives Platforms
Certain FSA-regulated derivatives trading platforms will be exempt from the requirement to register with the CFTC, and the FSA will facilitate authorisation for CFTC-regulated platforms.
July 15, 2019 -
676EnforcementKorea Exchange Fined for Making False Statement to CFTC
The CFTC found that KRX failed to disclose that it was not in compliance with a requirement to use daily stress tests to evaluate the sufficiency of its financial resources.
July 15, 2019 -
1.0KEnforcement
Hong Kong Hedge Fund Penalised by CFTC, CME
Elephas Investment Management was found to have violated wheat futures speculative position limits established by the CFTC.
July 4, 2019
