International

CFTC shares the RED List with other government regulators, the media, consumer groups, industry participants, self-regulatory organizations, exchanges, and industry associations.

The impending introduction of MiFID II continues to reverberate on this side of the Atlantic (IA Watch, Nov. 30, 2017).   The latest example comes ...

The CFTC can tweak its rules to create a “clear and predictable” regulatory approach that would resolve problems of “market fragmentation” and promote the international ...

No-action letter extending the time-limitation contained in an alternative compliance framework available to certain affiliated counterparties pursuant to Commission regulation 50.52(b)(4)(ii)-(iii), extending the time-limitation permitting ...

No action letter extending relief from section 2(h)(8) of the Commission Exchange Act for any eligible affiliate counterparty that executes a swap transaction with another ...

If you’re a U.S-based adviser who does or hopes to do any business in the EU, know that Europe’s coming regulation Markets in Financial Instruments ...

Doing business in Europe in January will require an LEI or legal entity identifier, perhaps even for your clients (see related story). Here’s how you ...

The Division will not recommend that the Commission take an enforcement action against a non-U.S. SD or a non-U.S. MSP established in Australia, Canada, the ...

Before the Commission grants an exemption from DCO registration, it must first execute a Memorandum of Understanding (“MOU”) with the clearing organization’s home country regulator. ...

The new CFTC chairman has taken another shot at how his predecessors oversaw the swaps markets.   Chairman J. Christopher Giancarlo traveled to a conference ...