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To help in the transition away from LIBOR
The World Health Organization has described the newly dubbed COVID-19 virus as a “very grave threat”
Rule includes an interpretation addressing the application of the portfolio reconciliation, portfolio compression, and trading relationship documentation requirements to cross-border security-based swap activities
The Commission is providing guidance regarding the application of certain uses of the terms ‘‘arranged’’ and ‘‘negotiated’’
There's an increased risk of private litigation tied to data breaches
"Without doubt, we face another interesting year ahead"
A peer shares a copy of a subscription agreement that includes terms relevant to clients in various countries
The proposal addresses the cross-border application of the registration thresholds and certain requirements applicable to swap dealers and major swap participants
The revisions would make permanent certain temporary alternative compliance frameworks
On the same day that SEC commissioners narrowly approved cross-border swap rules, the CFTC followed suit
Having an entity test its ability to infiltrate your network stands as a confirmed cybersecurity best practice. However, you may want to ask your vendor ...
SEC Charges Two Bankers and Trader in Serial International Insider Trading Scheme Litigation Release No. 24650 / October 22, 2019 Securities and Exchange Commission v. ...
SEC Obtains Asset Freeze and Charges Banker and Trader in International Insider Trading Scheme Litigation Release No. 24649 / October 22, 2019 Securities and Exchange ...
The Commission’s complaint alleged that, from 2010 through 2014, while operating and advising a group of hedge funds through FMC and FMC S.R.L., Conrad failed ...
A dictionary defines “comity” as a “friendly social atmosphere” and the Oct. 16 meeting of the CFTC met that definition although a hint of hostility ...
Revised no-action position with respect to uncleared swaps with the European Stability Mechanism under Commission Regulations 23.150-159, 23.161.
Revised no-action relief for the European Stability Mechanism from the swap clearing requirement in Section 2(h)(1) of the Commodity Exchange Act and Commission Regulations 50.2 ...
SEC grants Santander Spain exemptive relief from Rules 101 and 102 of Regulation M to permit Santander Spain and its affiliates to continue, in the ...
An investment adviser to a private African development fund left the meter running on a mine and now will have to pay the fare, the ...
Hester Peirce
Shared concern for global derivatives markets serves not only to help those markets function well, but to deepen cross-border relationships.

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