Q&A On Universal Registration for Non-US Advisors
Following our Wednesday Webinar entitled:“Non-US Advisers Under the Dodd-Frank Act: Universal Registration is Here," speakers Mark Berman,…
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.
Opening Statement, Meeting of: The CFTC-SEC Joint Advisory Committee on Emerging Regulatory Issues from Chairman Gary Gensler
Good morning. I am pleased to open the third public meeting of the CFTC-SEC Joint Advisory Committee…
Agencies Issue Advance Notice of Proposed Rulemaking Regarding Alternatives to the Use of Credit Ratings
The federal banking agencies (agencies) today have agreed to publish an advance notice of proposed rulemaking (advance…
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues Announces Agenda, List of Participants for August 11 Meeting
The Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) today announced the agenda and…
CESR Consults on the Development of a Pan-European Access to Financial Information
CESR starts consulting on the development of a pan-European access to financial information disclosed by listed companies….
Opening Statement, Meeting of: The Agricultural Advisory Committee by Chairman Gary Gensler
Good morning. Thank you Commissioner Dunn for chairing today’s meeting of the Agricultural Advisory Committee and for…
CFTC Adopts Amendment Regarding the Operation of a Commodity Broker in Bankruptcy
The Commodity Futures Trading Commission (CFTC) today announced that it adopted an amendment to its regulations regarding…
UK in Focus: Regulatory Reform News of the Week
The financial regulatory landscape continues to transform but this week the news was mostly focused on the…
Long-term issues in International Banking: New Report from the Committee on the Global Financial System
The Committee on the Global Financial System (CGFS) today released Long-term issues in international banking, a report…
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CFTC and SEC Issue Joint Advance Notice of Proposed Rulemaking and Request for Comment Regarding Definitions and the Regulation of Mixed Swaps as Part of Dodd-Frank Act Rulemaking
The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) today published a joint…