New Rules for More Efficient, Resilient and Transparent Financial Markets in Europe
European Commission – Press release In recent years, financial markets have changed enormously. New trading venues and…
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.
Update on Basel III Implementation
The Basel Committee on Banking Supervision issued today its first Progress report on Basel III implementation. The…
SEC Proposes Rules for Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants
The Securities and Exchange Commission today voted to propose rules that lay out the process by which…
SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading
The Securities and Exchange Commission today voted to propose a rule implementing the so-called “Volcker Rule” requirements….
Brokers & Execution Platforms Could Face Unfair Competition if Non-discriminatory CCP Access Remains Unclear
Brokers are calling for the language within EMIR around non-discriminatory access to clearing houses to be more…
CFTC to Hold Open Meeting to Consider Two Final Rules and One Proposed Amendment
The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Tuesday, October 18, 2011,…
SIFMA Statement on the Volcker Rule Proposal
SIFMA today released the following statement from president and ceo Tim Ryan in reaction to the Volcker…
An Unintended Consequence?
No, it’s not all Kudrin all the time here at SWP. I know there are those of…
CFTC Announces Second Public Meeting of the Technology Advisory Subcommittee on Data Standardization
Subcommittee Working Groups to Present Interim Findings Aimed at Creating Universally Acceptable Standards for Complex Financial Products
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Brian Bussey Named Associate Director for Derivatives Policy and Trading Practices in Division of Trading and Markets
The Securities and Exchange Commission today announced that Brian A. Bussey has been named Associate Director for…