International

The SEC wouldn’t comment on that never-been-examined OCIE document request letter we shared last week (IA Watch, July 30, 2015) but IA Watch found a ...

The recent move by the European Securities and Markets Authority to not extend so-called passport authority to U.S. managers marketing their private funds in the ...

The CFTC must make a more concerted effort to fix its swaps trading rules in accordance with the letter and spirit of Title VII of ...

IA Watch has obtained a new SEC document request letter received by an SEC-registered advisory firm based in London, England.   The document resembles other ...

Call it wire hacker fraud. It is not the most sophisticated cyber-scam. But too often it works. The nub of the racket: a client’s e-mail ...

Last week, the CFTC unanimously approved a new proposed rule designed to prevent U.S. swaps dealers from escaping its margin requirements by conducting business overseas. ...

This CFTC proposed rule from 2015 would apply margin requirements to cross-border transactions, as a well to close a loop-hole regarding international swaps.

I would also like to say a word about our Cross-Border Guidance, which discussed how the Commission would generally apply Dodd-Frank requirements to cross-border swap ...

I am comfortable supporting today’s release, but for the reasons discussed below, continue to harbor some doubts as to whether we have selected the approach ...

It is imperative that we get all aspects of our margin requirements right, and that includes getting the cross-border element of the requirements right. The ...