Regulation & compliance
|October 29th, 2012||IOSCO Reviews Implementation of Commodity Derivatives Market Principles
The International Organization of Securities Commissions has published today the final report Survey on Implementation of the Principles for the Regulation and Supervision of Commodity Derivatives Markets, which reviews how Market Authorities1 comply with IOSCO’s recommendations on commodity derivatives markets.
Full press release: http://www.iosco.org/news/
|October 29th, 2012||Basel Committee reports to G20 Finance Ministers and Central Bank Governors on Basel III implementation
The Basel Committee on Banking Supervision has today published its Report to G20 Finance Ministers and Central Bank Governors on Basel III implementation by its member jurisdictions. The report will be considered at the meeting of G20 ministers and governors in Mexico City on 4-5 November.
Full press release: http://www.bis.org/press/p121029.htm
|October 24th, 2012||Effective Data Management: “The Final Frontier” - Capco Survey Reveals a Surprising Lack of Effective Data Management in Financial Services Institutions
Data is still a misunderstood and under-leveraged corporate asset. Nearly a quarter of financial services institutions do not understand the positive impact of potential effective data management on P&L.
|October 23rd, 2012||CFTC Announces Public Meeting of the Technology Advisory Committee
The Commodity Futures Trading Commission (CFTC) announces that on Tuesday, October 30, 2012, the CFTC’s Technology Advisory Committee (the “TAC” or “Committee”) will hold a public meeting at the Hilton Chicago, from 9:00 a.m. to 5:00 p.m.
Full details: http://www.cftc.gov/PressRoom/PressReleases/pr6401-12
|October 22nd, 2012||CFTC Issues Final Interpretative Guidance to Clarify Foreign Regulators Indemnification and Confidentiality Obligations
The Commodity Futures Trading Commission (Commission) today issued final Interpretative Guidance to, under certain circumstances, exempt foreign regulators from the indemnification and confidentiality provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
Full press release: http://www.cftc.gov/PressRoom/PressReleases/pr6394-12
|October 22nd, 2012||SEC Adopts Standards for Risk Management and Operations of Clearing Agencies
The Securities and Exchange Commission today adopted a rule that establishes standards for how registered clearing agencies should manage their risks and run their operations.
Full press release: http://www.sec.gov/news/press/2012/2012-215.htm
|October 19th, 2012||CFTC to Hold Open Meeting to Consider a Notice of Proposed Rulemaking on Enhancing Customer Protections
The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Thursday, October 25, 2012, at 1:00 p.m., to consider a Notice of Proposed Rulemaking on Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations.
Full details via press release: http://www.cftc.gov/PressRoom/PressReleases/pr6392-12
|October 4th, 2012||CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Guidance on Segregated and Secured Funds Maintained in a Combined Omnibus Account
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today released a letter providing guidance to registered futures commission merchants (FCMs).
Full press release: http://www.cftc.gov/PressRoom/PressReleases/pr6377-12
|October 1st, 2012||Implementation of Capital Standards: Assessment Reports Published by Basel Committee
The Basel Committee on Banking Supervision has today published three reports assessing the rules that will implement Basel III in the European Union, Japan and the United States.
Full press release: http://www.bis.org/press/p121001.htm
|September 28th, 2012||ESMA Defines Standards for Derivatives and CCPs
The European Securities and Markets Authority (ESMA) has today published its technical standards on the Regulation on OTC derivatives, central counterparties and trade repositories (EMIR), which set out the specific details of how EMIR’s requirements are to be implemented.
See full press release for details: http://www.esma.europa.eu/system/files/2012-606_1.pdf
Keep up with current regulatory reform activities with this reference guide. Derivsource's Derivatives Regulation Timeline
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