Displaying results 1141 - 1150 of 1856
CFTC Issues Proposed Business Continuity and Disaster Recovery Regulation for DCMs and DCOs and Conforming Amendments to the Core Principle Guidance Applicable to DCMs.
… standard for designated contract markets (DCMs) and derivatives clearing organizations (DCOs) that the Commission determines to be …
Created on:
Remarks of Enforcement Director Ian McGinley at the City Bar White Collar Institute: “Trends in the CFTC’s Recent Crypto Enforcement Actions”
… to become Binance clients and enter into digital asset derivatives transactions through Binance. The complaint … can include not only offering transactions in digital asset derivatives—which could require registration, but also … protocol from an LLC to a DAO—a decentralized autonomous organization—controlled by certain token holders who had the …
Created on:
Opening Statement of Commissioner Brian D. Quintenz before the CFTC Global Markets Advisory Committee Meeting
… are facing during the implementation of two significant derivatives regulatory matters: uncleared margin regulations … on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO) established … as a Tier 1 CCP, and existing recognition conditions for clearing will apply.  Third-country CCPs that ESMA finds to …
Created on:
Opening Statement of Commissioner Caroline D. Pham before the Technology Advisory Committee
… Committee on Banking Supervision (BCBS), the International Organization of Securities Commissions (IOSCO), and … utilities (SIFMUs) that are registered with the CFTC as derivatives clearing organizations.  You can see that the CFTC has a …
Created on:
2023-15056
… Customer Funds  Held by Futures Commission Merchants and Derivatives Clearing  Organizations, 77 FR 67866 (Nov. 14, 2012) (FCM Customer …
Created on:
Opening Statement of Chairman Timothy G. Massad, Open Meeting on Proposed Rule on Margin Requirements for Uncleared Swaps and Final Rule on Utility Special Entities
… enter into swaps that are not then cleared on central clearinghouses Both of these agenda items are important … transactions will continue to be an important part of the derivatives market. This is so for a variety of reasons. … Committee on Banking Supervision and the International Organization of Securities Commissions, and we have been in …
Created on:
Testimony of Chairman Gary Gensler
… regulate both derivative dealers and the markets in which derivatives trade. I look forward to working with the … regulated exchanges, electronic trading systems and clearing houses. Only with these two complementary regimes … the core principles that registered derivatives clearing organizations must meet to achieve these goals to both …
Created on:
2020-16492
… Subsidiaries     2. SD/BD (Without Models)     3. SD/BD/OTC Derivatives Dealers (Without Models)     4. FCM-SD (Without … in swaps and security-based swaps that are not cleared by a clearing organization. The adoption of the capital requirements for …
Created on:
Draft Staff No-Action Letter Regarding the Application of Certain CEA Provisions after July 16, 2011 Available on CFTC Website
… the Division of Market Oversight (DMO) and the Division of Clearing and Intermediary Oversight (DCIO) would not … swaps; (2) section 5b(a) of the CEA, which requires a derivatives clearing organization to register with the CFTC in order to clear …
Created on:
Remarks of CFTC Chairman Heath P. Tarbert to the 36th Annual FIA Expo 2020
… for inviting me back to this really important gathering of derivatives industry participants. I hope that everyone is … the EU wanted to make sure it had enough oversight of clearing once London left the EU, but American … non-US clearinghouses. This allows Derivatives Clearing Organizations incorporated outside the US that don’t pose a …
Created on: