Displaying results 21 - 30 of 103
… would have the opportunity to make the certification again and stop aggregating, [ssquf] upon any call by the … actual common trading control.'' \42\ The Center for Capital Markets Competitiveness of the U.S. Chamber of … status quo, the Commission may bring enforcement action against an investor if it directs or otherwise controls the …
… and stakeholders make good use of available market data to gain insight about market interactions, risk flows, and … ; ``Capital Markets: innovation and the FinTech landscape,'' … and EY (2016), http://www.ey.com/Publication/ vwLUAssets/EY-capital-markets-innovation-and-the-finTech-landscape/ …
… Order and Request for Comment on an Application for a Capital Comparability Determination From the Financial … Division will not recommend enforcement action against a non-U.S. bank SD that files with the Commission … across assets in the portfolio, leading to offsets of gains and losses. Internal credit risk models can also …
… Order and Request for Comment on an Application for a Capital Comparability Determination Submitted on Behalf of … Division will not recommend enforcement action against a non-U.S. bank SD that files with the Commission … across assets in the portfolio, leading to offsets of gains and losses. Internal credit risk models can also …
… procedures to preclude one entity from having knowledge of, gaining access to, or receiving data about, trades of the … upon further review. Last, the Commission noted that as it gained further experience with the exemption for federal law … \30\ CL-FIA, Private Equity Growth Capital Council on June 29, 2012 (``CL-PEGCC''). \31\ …
… would have the opportunity to make the certification again and stop aggregating, upon any call by the Commission, … of the owned entity, as was suggested by the Center for Capital Markets Competitiveness of the U.S. Chamber of … Association and the Chicago Board of Trade which argued against aggregation based only on ownership.\97\ In response …
… sets standards for the regulation of banks, published the ``Capital Requirements for Bank Exposures to Central … scenario. New Sec. 39.11(c)(2)(iii) allows a DCO to net gains in the house account with losses in the customer … a DCO from netting losses in the house account with gains in the customer account. New Sec. 39.11(c)(2)(iv), as …
… would not recommend the Commission take enforcement action against certain small bank holding companies, savings and … not recommend that the Commission take enforcement action against bank holding companies and savings and loan holding … financial funds consisting of 138 banks, 16 venture capital funds, 297 credit unions, 90 depository institution …
… U.S. control affiliates of a non-U.S. CPO to contribute capital to such CPO's offshore pools as part of the initial … would retain the authority to take enforcement action against any non-U.S. CPO claiming the 3.10 Exemption based on … or satisfy such conditions or requirements.\44\ Moreover, again as noted above, the Commission would retain the …
… and/or futures commission merchant (FCM) risk reviews to gain a deeper understanding of a trading strategy, risk … warrant heightened scrutiny under current conditions. To gain insight into how markets operate during stressed market … initial margin and guaranty fund contribution, is the DCO's capital contribution. The third layer of protection against …