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The FCA Application asked the Commission to permit certain entities regulated and supervised by both the FCA and the UK’s Prudential Regulation Authority (“PRA”) to ...
The substituted compliance framework reflects the cross-border nature of the security-based swap market, and is intended to promote efficiency and competition by helping to address ...
Chairman cites "limited transparency" in wake of Archegos scandal
Archegos: "The limited transparency in this market, combined with potential shortcomings in market participants’ risk management .... I believe additional public disclosure of that fund’s ...
The correction affects swaps recordkeeping by broker-dealers and OTC derivatives dealers
olicy issues are "part of a larger story about the intersection of finance and technology"
November 8 has now been set as the first compliance date for Regulation SBSR
The CCO is responsible for establishing and administering the compliance program that is designed to prevent violations of the obligations of a swap data repository ...
ISDA requests that the Divisions maintain the status quo prior to Brexit by (i) allowing U.S. SDs to continue to treat the UK as one ...
To assist potential applicants for substituted compliance under Rule 3a71-6, staff has prepared guidance regarding applications for substituted compliance
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