Displaying results 1591 - 1600 of 1856
Statement of Commissioner Dan M. Berkovitz on Proposed Rule to Make Permanent Certain Anti-Evasion Measures for Inter-Affiliate Swaps
… where such swaps are subject to the Commission’s clearing requirement and there is no comparable and … enter into such swap unless it is submitted to a registered derivatives clearing organization (“DCO”) or to a DCO that is exempt from …
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Keynote Address before the University of Houston Global Energy Management Institutes' 5th Annual Trading and Marketing Conference: It's a Matter of Principles
… rivals. These exchanges were more nimble and cost-effective organizations due to their size, ownership structure and … the Commodity Exchange Act (CEA or Act), both exchanges and clearing houses must meet a separate set of statutory “core … completing a comprehensive review of certain registered derivatives clearing organizations (DCOs). These registrants …
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CFTC to Hold an Open Commission Meeting July 27
… the following: Proposed Rule: Governance Requirements for Derivatives Clearing Organizations Notice of Proposed Order and Request for …
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Remarks before the Futures Industry Association Law and Compliance Division and the New York City Bar Association
… Directive (MIFID) and the new European code of Conduct for Clearing and Settlement. I appreciate the difficulties … around the world. It is exciting to be a member of an organization that has been a leader in opening financial … products on how to effectively use the futures and other derivatives markets in managing price risk and volatility. …
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2014-02019
… primarily in certain securities issued by community banking organizations of the type grandfathered under section 171 of … and procedure, Banks, Banking, Compensation, Credit, Derivatives, Government securities, Insurance, Investments, … Capital, Compensation, Conflict of interests, Credit, Derivatives, Foreign banking, Government securities, Holding …
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CFTC to Hold an Open Commission Meeting on September 17
… : Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations Final Rule : Amendments to Real-Time Public …
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We’re Finally on the Job—Now Let’s Get to Work: Keynote Address by Commissioner Caroline D. Pham, 98th Annual Convention of the American Cotton Shippers Association
… the Financial Stability Board, the International Organization of Securities Commissions (IOSCO), the European … standards for regulating futures, swaps, options, and derivatives markets, as well as intermediaries.   Members … to hear what you think about all this. Non-intermediated Clearing and Market Structure A third area is …
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Statement of Commissioner Kristin N. Johnson on Mitigating the Systemic Risks of Swap Data Reporting Compliance Failures and Enhancing the Effectiveness of Enforcement Actions
… regarding the CFTC’s mission to mitigate systemic risk in derivatives markets, and the importance of utilizing (novel) … framework for the regulation of swaps that imposed central clearing and trade execution requirements, registration and … of enforcement from the government and the public to" the organization that engaged in wrongdoing. [12] Consider the …
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Statement of Commissioner Caroline D. Pham in Support of Notice of Proposed Rulemaking on Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
… ISDA-SIFMA Report, Initial Margin for Non-Centrally Cleared Derivatives: Issues for 2019 and 2020, 3-4 (July 2018), … Reporting and Information Requirements for Derivatives Clearing Organizations, U.S. Commodity Futures Trading Commission …
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Oral Statement on Proposed Order for Exemptive Relief
… for designated contract markets, the core principles for derivatives clearing organizations, and the prohibition on disruptive trading …
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