Swaps

Futures commission merchants, swap dealers and major swap participants will get an extra 30 days to file their chief compliance officer annual reports under proposed ...

A divided CFTC Aug 4 issued its latest statement on how to apply its swaps rules across international borders in response to a court case, ...

Despite the uncertainty created when UK voters opted to flee the EU, Britain’s Financial Conduct Authority is moving forward with guidance for firms to comply ...

These actions are part of our overall effort to address the cross-border implications of swap activity, while at the same time harmonizing derivatives regulation with ...

Unfortunately, the Commission’s uncoordinated approach to cross-border harmonization has allowed foreign regulators to respond in kind. The CFTC’s and European Union’s (EU) tortured and repeatedly ...

The Divisions have not recommended that the Commission take an enforcement action against a Non-U.S. SD (whether or not an affiliate of a U.S. person) ...

A CFTC staff advisory released July 25 clarifies that additional supervisory reporting and consultative relationships for CCOs of swap dealers, major swap participants, and futures ...

Regulation 3.3 implements sections 4d(d) and 4s(k) of the Commodity Exchange Act (the “CEA”) by, among other things, establishing CCO reporting line requirements for swap ...

New Rule 901(a)(2)(i) of Regulation SBSR requires a registered clearing agency to report any security-based swap to which it is a counterparty. The Commission is ...

For the first time, broker-dealers would be required to disclose their handling of institutional orders to customers should proposed rules approved July 13 by the ...