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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.

Regulatory Reform – Delays, Disagreements & Predictions for What’s Next in 2011

July 13, 2011 - - 0 Comment

Regulatory reform still faces delays and disagreements between the US and UK, which could have dire consequences…

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Associations Warn of Harmful Effects of Extra-territoriality

July 7, 2011 - - 0 Comment

Eight global and regional trade associations today called on regulators to intensify cooperation to prevent, alleviate or limit the harmful effect of overlap, inconsistency and ambiguity resulting from extra-territoriality in regulatory efforts to implement G20 commitments.    


Extra-territoriality is a fundamental concern in derivatives business, where it is common for counterparties based in different parts of the world to transact with each other. 

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Parliament Decides Stance on Derivatives, Short Selling, Investor Compensation

July 6, 2011 - - 0 Comment

Economic and monetary affairs 


Three proposals making derivatives trading less fragile, reducing speculative practices linked to short selling and reducing the time for the setting up of investor compensation schemes received Parliament’s backing on Tuesday ahead of negotiations with Member States.

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CFTC Publishes Two New Data Sets on Daily Net Position Changes

July 5, 2011 - - 0 Comment

The U.S. Commodity Futures Trading Commission (CFTC) today announced the release of two new data sets that add further transparency to commodity futures markets. The new reports, entitled “Large Trader Net Position Changes” and “Trading Account Net Position Changes,” build on the CFTC transparency program initiatives. The data and explanatory notes, as well as average values for both measures, can be found on our website. The CFTC is providing this data to the public on a one-time basis.

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Basel III FAQs answered by the Basel Committee

July 5, 2011 - - 0 Comment

The Basel Committee on Banking Supervision today issued Basel III frequently asked questions. To promote consistent global implementation of Basel III, the Committee has agreed to periodically review frequently asked questions and publish answers along with any technical elaboration of the rules text and interpretative guidance that may be necessary.

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Derivatives: more transparency and stability. Werner Langen MEP

July 5, 2011 - - 0 Comment

Over-the-counter derivatives to be regulated/European Parliament votes on new EU Regulation

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SEC Proposes Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

June 29, 2011 - - 0 Comment

The Securities and Exchange Commission today voted to propose rules that would impose certain business conduct standards…

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CFTC Staff to Host Public Roundtable to Discuss Proposed Changes to Registration and Compliance Regime for Commodity Pool Operators and Commodity Trading Advisors

June 28, 2011 - - 0 Comment

Staff of the Commodity Futures Trading Commission (CFTC) will hold a public roundtable on July 6, 2011,…

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SimCorp Releases System Readiness Assessment for Dodd-Frank

June 27, 2011 - - 0 Comment

White paper provides guidance on investment system capabilities required to support mandated regulatory changes to OTC derivatives…

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Weekly roundup of derivatives industry headlines

June 24, 2011 - - 0 Comment

Competition TMX heats up; derivatives regulatory reform in EU hits delays; more extensions for Dodd-Frank comment periods…

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