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Regulators (23)
Your search for Regulators returned 23 results.
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6/28/2018 | Content area: CPO/CTA
Dodd-Frank gave the SEC supervision over security-based swaps and the CFTC over other swaps. Now the two agencies have agreed to work together to coor...
1/25/2018 | Content area: Investment Adviser | CPO/CTA
Bitcoins and other cryptocurrencies may be all the rage but the SEC’s Division of Investment Management states to slow down.   Two advisers that sough...
2/23/2017 | Content area: CPO/CTA
If author Stephen King had it right when he said “brevity makes sweetness,” then the CFTC’s rules around bona fide hedging can seem as sour as a bite ...
2/02/2017 | Content area: Private Fund
If you’re a large enough private fund adviser that markets into the EU, then you already quarterly file certain data reports with overseas regulators ...
9/01/2016 | Content area: Investment Adviser
Back in May, when the Consumer Financial Protection Board proposed a rule governing arbitration agreements, you may have paused to wonder if you would...
8/04/2016 | Content area: CPO/CTA
Despite the uncertainty created when UK voters opted to flee the EU, Britain’s Financial Conduct Authority is moving forward with guidance for firms t...
3/28/2016 | Content area: Investment Adviser
If you work at a firm that’s dual- or even tri-registered, you know the hassles of having to report to more than one regulator. A new GAO report recom...
2/11/2016 | Content area: CPO/CTA
Regulators on both sides of the Atlantic appear to be playing nice. Last week’s announcement that the CFTC’s and the EU’s top regulators have agreed u...
2/11/2016 | Content area: CPO/CTA
A memorandum of understanding has been signed by the CFTC and German regulators that pledges both sides to cooperate in overseeing clearing organizati...
1/22/2016 | Content area: CPO/CTA
We remain keenly focused on preventing excessive risk and promoting stability in the financial system. A primary emphasis here will be clearinghouse s...
11/12/2015 | Content area: Broker-Dealer
Massachusetts’s top securities regulator created a stir late last month by accusing Fidelity Investments of “dishonest and unethical” behavior for all...
11/05/2015 | Content area: CPO/CTA
All members of the National Futures Association will have to have a written cybersecurity program in place by next March. This after the Commodity Fut...
5/26/2015 | Content area: CPO/CTA
Issues of the effect of regulation on cost and liquidity are complex subjects, beyond what I can cover today. I will just note that when we consider a...
5/21/2015 | Content area: CPO/CTA
The commission faces one key obstacle standing in the way of such a surveillance program: insufficient resources. The commission’s needs relate to bot...
5/14/2015 | Content area: CPO/CTA
To address the regulatory gaps and build-up of excessive risk that caused the 2008 global financial crisis, and the role of over-the-counter (OTC) swa...
5/13/2015 | Content area: CPO/CTA
The position limits rulemaking is a significant undertaking and both the CFTC and its staff are struggling to get it right. I continue to keep an open...
1/02/2015 | Content area: Investment Adviser
Whatever the Financial Stability Oversight Council’s next move is toward regulating asset managers, it will be aided by comments from the industry, sa...
1/02/2015 | Content area: Investment Adviser
It’s permissible for “non-key employees” of family office advisers to engage in “purely administrative duties,” such as preparing and filing taxes for...
11/20/2014 | Content area: Investment Adviser
The results aren’t particularly surprising but surely can’t be ignored any longer. A PricewaterhouseCoopers survey of more than 750 money managers, ba...
1/09/2012 | Content area: Investment Adviser
Recently we alerted you to the difficulty in defining an independent contractor (IA Watch, Nov. 28, 2011). A CCO peer urges we now warn you not to for...


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