Swap Dealers – Tackling Tasks to Comply with Dodd-Frank
US financial reform legislation transforms the swap market from an unregulated to a highly regulated market. Davis…
Commentary
Commodity Futures Trading Commission and Securities and Exchange Commission Release Joint Report to Congress on International Swap Regulation
The Commodity Futures Trading Commission and the Securities and Exchange Commission delivered to Congress a report on…
The Cost of Collateral Management in a New CCP Environment
Prof Craig Pirrong offers his take on the biggest concerns for cost and collateral management in 2012…
ESMA Outlines Future Regulatory Framework for ETFs and other UCITS Issues
ESMA publishes today a consultation paper (ESMA/2012/44) setting out future guidelines on UCITS Exchange-Traded Funds (UCITS ETFs)…
CFTC Releases Results of Limited Reviews of Futures Commission Merchants
CFTC did not find any material breaches of customer funds protection requirements during the spot check The…
CFTC Staff to Host Public Roundtable to Discuss the “Available to Trade” Provision for Swap Execution Facilities and Designated Contract Markets
Staff of the Commodity Futures Trading Commission (CFTC) will hold a public roundtable on January 30, 2012,…
The Interconnectivity of Regulation & the Risk, Cost & Operational Impact on Asset Managers
Natalie Westerbarkey, Director, Client Executive at Citigroup Securities and Fund Services discusses how through understanding the new…
David Grim Named Deputy Director of SEC’s Division of Investment Management
The Securities and Exchange Commission today announced that David Grim has been appointed Deputy Director of its…
Improving Capital Efficiency: Failure is not an Option
Major regulatory changes, evolving market structure and funding challenges are making capital efficiency more imperative. Against this…
CFTC Issues Final Rule Amending Registration and Compliance Obligations for Commodity Pool Operators and Commodity Trading Advisors
Also Issues a Proposed Rule to Harmonize Compliance Obligations for Registered Investment Companies Required to Register as…