IOSCO Consults on the Technological Challenges to Market Surveillance
The International Organization of Securities Commissions has published today a Consultation Report on the Technological Challenges to…
Regulation & Compliance
DerivSource provides industry analysis, expert Q&As and commentary articles on derivatives regulation and compliance including regulatory change impacting trade execution via SEFs, CCP clearing, collateral management, trade and regulatory reporting and regtech trends. Regulations covered include: UMR margin rules, EMIR Refit, CSDR regulation, SFTR reporting, MIFID regulation, and CFTC rules, such as the CFTC regulatory reporting rules, as well as industry trends (IBOR reform) that may impact derivatives market participants globally.
ISDA and Markit Begin Buy-Side Onboarding for Dodd-Frank Compliance Solution
The International Swaps and Derivatives Association, Inc. (ISDA) and Markit announced today that they are now onboarding…
The Rise of FpML: a Critical Tool for the New OTC Regulatory Environment
FpML 5 has introduced new views and messages to support operational demands related to regulatory reform such…
CFTC Approves Conforming Rule on Registration of Intermediaries
The U.S. Commodity Futures Trading Commission (CFTC) today approved a final rule to conform the CFTC’s existing…
CFTC Proposes Inter-Affiliate Clearing Exemption
The Commodity Futures Trading Commission (CFTC) today issued a proposed rule to exempt swaps between certain affiliated…
Q4 in Focus – Compliance Readiness & the Need for Self- Assessment
Financial institutions that have established the procedures and infrastructure required to comply with new rules under the…
CFTC Staff Grants Temporary No-Action Relief to Persons Eligible for the Trade Option Exemption
The staff of the Division of Market Oversight issued a no-action letter providing that, for a limited…
How Will CCP Clearing Impact the Buy Side’s Use of OTC Derivatives?
Asset managers are concerned about the collateral burden and cost of central clearing of swaps. Lynn Strongin…
SEC to Host Market Technology Roundtable
The Securities and Exchange Commission announced that it will host a technology roundtable next month to discuss…
Federal Reserve Board considering changes to the implementation timeline for the Dodd-Frank company-run stress test requirements
The Federal Reserve Board is considering changes to the implementation timeline for the annual company-run stress test…