Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Swaps (600)
Your search for Swaps returned 600 results.
Sorted by Date

7/18/2019 | Content area: CPO/CTA
You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified Connect...
7/18/2019 | Content area: Investment Adviser
Sometimes your compliance job involves entering territory that can seem far afield.   Take Resolution Stay, the rules directed at large banks and prom...
7/09/2019 | Content area: CPO/CTA
Advisory clarifying that no documentation concerning the collection, posting and custody of initial margin is required to be completed until the initi...
6/27/2019 | Content area: Broker-Dealer
A package of rules adopted by the SEC June 21 represents another significant step toward the establishment of the regulatory regime for security-based...
6/27/2019 | Content area: CPO/CTA
Consider that you have received notice. If you’re a CPO/CTA that has been approved by the NFA to engage in swaps yet don’t, you should consider withdr...
6/27/2019 | Content area: Investment Adviser | CPO/CTA
Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts June 27, 2019 Washington, DC – Commodity Futures Trading Commission Chairman...
6/27/2019 | Content area: CPO/CTA
No-Action relief granted to registered floor traders from compliance with certain conditions in paragraph (6)(iv) of the "swap dealer" definition in C...
6/24/2019 | Content area: Broker-Dealer
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commissi...
6/24/2019 | Content area: CPO/CTA
”The continued pursuit of various opportunistic strategies in the credit derivatives markets, including but not limited to those that have been referr...
6/20/2019 | Content area: CPO/CTA
“I am pleased that the Basel Committee has agreed on a targeted and limited revision of the leverage ratio to allow margin received from a client to o...
6/06/2019 | Content area: CPO/CTA
No-action relief granted to swap dealers from the uncleared swap margin requirements under Part 23 of the Commission's regulations with respect to cer...
6/05/2019 | Content area: CPO/CTA
The Commission is also considering a rule proposal to address the registration and regulation of non-U.S. swap dealers and major swap participants, as...
5/17/2019 | Content area: Investment Adviser
One of the challenges of building a new regulatory framework for the security-based swap market in the United States is that our domestic market is on...
5/16/2019 | Content area: CPO/CTA
There are only 16 CFTC registered derivatives clearing organizations but they just got a kiss from their regulator.   The Commission is proposing simp...
5/16/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (Commission) is proposing amendments to certain regulations applicable to registered derivatives clearing org...
5/10/2019 | Content area: Broker-Dealer
The Securities and Exchange Commission (“SEC” or “Commission”) is proposing a number of actions to address the cross-border application of certain sec...
5/10/2019 | Content area: Broker-Dealer
Nearly a decade after the Dodd-Frank law took effect, SEC commissioners have proposed revisions to how it regulates the law’s provisions related to th...
5/10/2019 | Content area: CPO/CTA
We want to map the inter-connectedness of regulated derivatives markets to the broader financial system and study risk transmission throughout. Undou...
5/02/2019 | Content area: CPO/CTA
It’s more than one year away when many hedge funds and other entities that engage in significant swap deals will have to begin to post and collect ini...
4/29/2019 | Content area: CPO/CTA
As part of Project KISS, the Commission is proposing to revise or delete certain provisions in Part 39. These revisions will improve the clarity of t...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US