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)…
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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…
CFTC Approves Final Rules on Customer Collateral, Business Conduct for Swap Dealers & Major Swap Participants; Approves Proposed Volcker Rule (Fact Sheets via CFTC)
Rules Final Rule on the Protection of Cleared Swaps Customer Contracts and Collateral and Conforming Amendments to…
SIFMA Statement on CFTC’s Volcker Rule Proposal
SIFMA today released the following statement from Tim Ryan, president and ceo after the Commodity Futures Trading…
Allison Lurton Joins FIA as Deputy General Counsel
The Futures Industry Association is pleased to announce that Allison Lurton will join the association as senior…
CFTC Announces Real-Time Public Reporting of Swap Transactions and Swap Dealer Registration Began December 31, 2012
The Commodity Futures Trading Commission (CFTC) today announced that both real-time public reporting of swap transactions and…
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…