David Blass Named Chief Counsel in SEC Division of Trading and Markets
The Securities and Exchange Commission today announced that David W. Blass has been named Chief Counsel 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.
CFTC and SEC Staffs to Host Public Roundtable to Discuss International Issues relating to the Implementation of Title VII of the Dodd-Frank Act
The staffs of the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) will…
ISDA Marks First Anniversary of Dodd-Frank Act: Clearing, Transparency Drive Improvements in OTC Derivatives Markets
At the first anniversary of the Dodd-Frank Act, market participants, policymakers and others are assessing the safety…
ESMA Consults on Systems and Controls for Highly Automated Trading
ESMA publishes a consultation paper (ESMA/2011/224) today setting out its proposals for detailed guide- lines for trading…
Lawmakers Provide Recommendations to CFTC for Improving Implementation Process of Dodd-Frank
Lucas & Conaway identify specific actions agency can do to make it more transparent Reps. Frank Lucas…
CFTC Clarifies Effective Date for Swaps Regulation Under the Dodd-Frank Act
The Commodity Futures Trading Commission (CFTC) today issued an Order clarifying the effective date of the provisions…
Citi Whitepaper Outlines the Top Five Issues OTC Derivatives Investors Must Plan for in the Wake of Dodd-Frank Reforms
Citi announced today that it has released a new whitepaper that outlines the top five issues that…
CFTC to Hold Open Meeting to Consider Four Final Rule Proposals and One Proposed Rule under the Dodd-Frank Act
The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Tuesday, July 19, 2011, at…
Regulatory Reform – Delays, Disagreements & Predictions for What’s Next in 2011
Regulatory reform still faces delays and disagreements between the US and UK, which could have dire consequences…
U.S. Regulators Seek Public Input for a Joint CFTC-SEC Study on International Swap Regulation
The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) have approved for publication…