All posts tagged "CFTC"
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299Capital 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 -
600FeatureCFTC 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 -
980JapanJapan 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 -
605EnforcementKorea 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 -
948Enforcement
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 -
441Market Infrastructure
CFTC Clarifies How Foreign Broker Exemptive Relief Can Be Terminated
The CFTC has the right to terminate the exemptive relief granted to foreign brokers, but current regulations do not provide a specific course of action if exemptive relief no longer warranted.
June 27, 2019 -
750InternationalIOSCO Urges Members to Review, Enhance Cyber Standards
A new report from the IOSCO Cyber Task Force provides an overview of three internationally recognised cyber standards and frameworks used by IOSCO members.
June 19, 2019 -
454Market InfrastructureUS SEC Proposes Amendments to Cross-Border Swaps Rules
The proposals address issues in applying security-based swaps rules in a cross-border context, and leave supervision of foreign trading practices and market structures to home supervisors.
May 14, 2019 -
534International
CFTC Chairman Seeks Formal Guidance on Phase 5 Initial Margin
Chairman Giancarlo seeks regulatory guidance clarifying that entities with calculated initial margin amounts less than $50mn need not make preparations to exchange initial margin.
May 6, 2019 -
754JapanMerger Benefits Diminished Under Existing JPX-TOCOM Plan
The current plan to keep crude oil and petroleum products on TOCOM will diminish the benefits of the planned merger with JPX.
April 8, 2019
