All posts tagged "CFTC"
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453EuropeIndustry Bodies Request Margin Exemption Extensions under EMIR
ISDA and other industry associations are asking for equivalence decisions for all jurisdictions that have implemented margin rules in line with the BCBS-IOSCO framework.
May 6, 2020 -
549EuropeEU, US, UK Authorities Grant Relief on Call Recording Rules
ESMA, the CFTC and the FCA have each indicated that financial firms can consider alternative mitigating steps in circumstances where call recording with clients is not possible.
March 23, 2020 -
1.2KAsia-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 -
447Capital 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 -
318Australia & 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 -
1.0KFintech / 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 -
308EnforcementCFTC 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 -
578EnforcementCFTC 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 -
316EnforcementCFTC 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 -
640InternationalA 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
