SEC and UK FSA Hold Meeting of SEC-FSA Strategic Dialogue
Securities and Exchange Commission chairman Mary L. Schapiro today met separately in London with chairman Adair Turner of…
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.
Financial Stability Board Reports to G20 Leaders on Global Financial Reforms
The Chairman of the Financial Stability Board (FSB) reported to the G20 Leaders today at the Seoul…
Parliament Ushers in New EU Rules for Hedge Funds and Private Equity
Economic and monetary affairs New EU-wide rules on the marketing of alternative investment funds overcame the final…
Joseph Brenner Named Chief Counsel in SEC Division of Enforcement
The Securities and Exchange Commission today announced that Joseph K. Brenner has been selected as Chief Counsel…
Statement on Support of the Dodd-Frank Rulemaking of Chairman Gary Gensler
Statements for the record on each rule: Whistleblowers I support the proposed rulemaking to establish a program…
Opening Statement, Meeting of the: Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
Good morning. I am pleased to join Chairman Schapiro in welcoming the members of the Joint CFTC-SEC…
CFTC Requests Public Comment on Application Submitted by New York Portfolio Clearing, LLC for Registration as a Derivatives Clearing Organization
The Commodity Futures Trading Commission (CFTC) is asking for public comment on an application submitted by New…
SEC Proposes New Whistleblower Program Under Dodd-Frank Act
The Securities and Exchange Commission today voted unanimously to propose a whistleblower program to reward individuals who…
Joint Statement by CFTC Chairman Gary Gensler and European Commissioner Michel Barnier on Financial Oversight
United States Commodity Futures Trading Commission (CFTC) Chairman Gary Gensler and European Commissioner Michel Barnier met today…
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SEC and CESR Members Announce Efforts to Continue Close Cooperation as National Securities Regulators Implement New Regulatory Reform Initiatives
The Securities and Exchange Commission and the Committee of European Securities Regulators (CESR) today convened a high-level…