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…
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.
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…
SEC Proposes New Rule to Prevent Fraud in Connection with Security-Based Swaps
The Securities and Exchange Commission today voted unanimously to propose a new rule to help prevent fraud,…
Chairman Gary Gensler Announces the Appointment of David Meister as Director of Enforcement
Commodity Futures Trading Commission (CFTC) chairman Gary Gensler today announced the appointment of David Meister as director…
Hedge Funds: Risk Reporting to Meet Demands of Regulators and Investors
Investors require in-depth risk reporting and lower fees whilst regulators are soon to introduce their own set…
Statement on Support of the Dodd-Frank Rulemaking of Chairman Gary Gensler
Statements for the record on each rule:Anti-Manipulation Rulemaking I support the proposed rulemaking to enhance the Commission’s…
IOSCO Proposes Regulatory Oversight Principles for Dark Liquidity
The Technical Committee of the International Organization of Securities Commissions (IOSCO) has published a consultation report, Issues…
Opening Statement, Public Meeting on Proposed Rules Under Dodd-Frank Act Commissioner
Michael V. Dunn Today we consider the next set of proposed rules that come before the Commission…
Global OTC Derivative Reform Rules: A Glimpse of What’s to Come
Reval’s ceo and co-founder Jiro Okochi shares insight on how regulatory reform is progressing based on his participation…
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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…