IOSCO forms Task Force on OTC Derivatives Regulation
The Technical Committee of the International Organization of Securities Commissions (IOSCO) has formed a Task Force on…
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.
SEC Proposes Rules to Mitigate Conflicts of Interest Involving Security-Based Swaps
The Securities and Exchange Commission today proposed rules intended to mitigate conflicts of interest for security-based swap…
Final Paper on Supervisory Colleges Issued by the Basel Committee
The Basel Committee on Banking Supervision today issued the final version of its paper Good Practice Principles…
FIA Calls for Joint Industry-CFTC Cooperation to Develop Ownership and Control Reporting System
The futures industry is working on an ownership and control reporting system that will serve as a…
Commodity Futures Trading Commission’s Technology Advisory Committee to Meet October 12, 2010
Committee to continue discussion of high frequency and algorithmic trading practices and the role of technology in…
Basel III: Parliament Adopts Clear Position as an Answer to the Crisis. Othmar Karas MEP
A clear majority for an equally clear position: The European Parliament today unanimously adopted its Report on…
New Basel Bank Capital Standards Need Fine-tuning
The new Basel capital requirement standards agreed in late September are tackling a number of the right…
SEC Seeks Public Comment on Asset-Backed Securities Rule Proposal Under Dodd-Frank Act
The Securities and Exchange Commission is seeking public comment on proposed regulations to require issuers of asset-backed…
Heather Seidel Named Associate Director in Division of Trading and Markets
The Securities and Exchange Commission today announced that Heather Seidel has been named an Associate Director in…
CFTC/SEC Staffs to Host Joint Public Roundtable to Discuss Issues Related to the Clearing of Credit Default Swaps
The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) staffs will hold a…