At times, the fabric of multiple financial regulators crosses like a quilt. Take the SEC’s Investment Company Act rule 2a-7 (money market funds). It bleeds ...
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, ...
In a year that has featured the CFTC signing cooperation memoranda of understanding with fellow regulators (IA Watch, June 10, 2016), the Commission last month ...
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 ...
Commodity trading advisors, pool operators, futures commission merchants and introducing brokers who work outside the U.S. and act on behalf of only “persons located outside ...
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 ...
The CFTC has issued a new staff advisory reminding all registrants of their obligation to “regularly” review the economic sanctions programs and the Department of ...
It’s all about data these days. The National Futures Association often will send a registrant an Excel spreadsheet complete with fields to be filled ...
Because Barclays Bank self-reported and cooperated with the CFTC over filing inaccurate large trader reports for nearly one year, its settlement resulting in a $560,000 ...
Besides being the first day of summer, last Tuesday also marked the day certain interest rate derivatives were to be cleared under the European Market ...