ESMA Launches a Consultation on Short Selling and CDS, and Announces an Open Hearing on 29 February
The purpose of this consultation is to seek comments on the technical advice that ESMA proposes to…
Feature
EP-Council Deal on Rules for a Safe and Transparent Derivatives Market
ECON Economic and monetary affairs After long negotiations a compromise deal on new EU legislation to regulate…
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…
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…
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…
ESMA Launches a Consultation on EMIR and Announces an Open Hearing on 6 March
The Regulation of the European Parliament and Council on OTC Derivatives, CCPs and trade repositories (EMIR) introduces…