Regulation & compliance
|January 23rd, 2013||CFTC Approves Rulebook and Issues Amended Registration Order for LCH.Clearnet LLC
Today, the Commodity Futures Trading Commission issued to LCH.Clearnet LLC (LCH) (1) a letter approving LCH’s revised rulebook and (2) an amended order of registration as a derivatives clearing organization (DCO).
Details via press release: http://www.cftc.gov/PressRoom/PressReleases/pr6501-13
|January 23rd, 2013||Increasingly Dynamic Regulatory Environment has Asset Managers Focused on Performance
Linedata releases the results of its third annual survey of global asset management industry
Linedata (NYSE Euronext: LIN), the global solutions provider dedicated to the investment management and credit industries, today announced the results of its third annual survey on the priorities and challenges facing the global asset management community.
Adapting to new regulation is still a major concern, but maintaining investment performance ranks as other crucial issue for 2013
|January 10th, 2013||SimCorp Paper Highlights Importance of IBOR as the Foundation for Better Investment Decisions and Regulatory Compliance in 2013
SimCorp, a leading provider of investment management solutions and services for the global financial services industry, has released a new paper, “The Investment Book of Record: One Version of Truth from Front- to Back-Office.”
|January 8th, 2013||DTCC Urges CFTC to Reject Proposed Rule that Would Decrease Transparency, Increase Risk to Financial System and Undermind Intent of Dodd-Frank
The Depository Trust & Clearing Corporation (DTCC) today filed a comment letter urging the U.S. Commodity Futures Trading Commission (CFTC) to reject The Chicago Mercantile Exchange Inc.’s (CME) proposed Rule 1001, which would alter the already established regulatory reporting structure for over-the-counter (OTC) derivatives. The proposed rule would inappropriately tie CME’s swap data repository (SDR) and clearing services and eliminate the ability of market participants to choose their preferred SDR.
|December 13th, 2012||CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from the Post-Allocation Swap Timing Requirement of § 45.3(e)(ii)(A) of the Commission’s Regulations
The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) today issued a letter providing relief from the post-allocation swap timing requirement of § 45.3(e)(ii)(A).
Full details via press release: http://www.cftc.gov/PressRoom/PressReleases/pr6461-12
|December 12th, 2012||Sapient Global Markets to Provide Faster Time to Market and Assist Regulatory Compliance for Eris Exchange Customers
Sapient Global Markets Receives Eris Exchange Implementation Certification
|December 10th, 2012||December 2012 Quarterly Review: Policy measures and reduced short-term risks buoyed markets
Full report and details via press release: http://www.bis.org/press/p121210.htm
|December 6th, 2012||OTC Documentation: Challenges & Solutions For Regulatory Compliance & Operational Efficiency
Kevin Thorogood, Global Head of Capital Markets at Thunderhead.com talks to DerivSource about the challenges firms face as they transform over-the-counter-derivatives (OTC) trade documentation to comply with new regulatory requirements. He addresses the problems posed by adjusting workflow and infrastructure models as well as the importance of sound relationship documentation and legal processes.
|December 4th, 2012||Joint Press Statement of Leaders on Operating Principles and Areas of Exploration in the Regulation of the Cross-border OTC Derivatives Market
Leaders of authorities with responsibility for the regulation of the over-the-counter (OTC) derivatives markets in Australia, Brazil, the European Union, Hong Kong, Japan, Ontario, Quebec, Singapore, Switzerland and the United States,1 met on November 28, 2012 to discuss reform of the OTC derivatives market as agreed by the leaders at the G-20 Pittsburgh Summit in September 2009.
Full details via press release: http://www.cftc.gov/PressRoom/PressReleases/pr6439-12
|November 29th, 2012||CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Amended No-Action Letter on the Pay-to-Play Rules for Swap Dealers Conducting Business with Certain Governmental Special Entities
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued an amended no-action letter addressing the pay-to-play rules applicable to swap dealers who conduct business with certain governmental special entities.
Full details via press release: http://www.cftc.gov/PressRoom/PressReleases/pr6433-12
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