Displaying results 291 - 300 of 1856
CFTC Staff Issues No-Action Letter Regarding Certain Swap Reporting Obligations for Counterparties Clearing Swaps Through DCOs Acting Consistent with Exemptive Orders or No Action Letters
… of CFTC regulations. The letter applies to counterparties clearing swaps through derivatives clearing organizations (DCOs) operating consistent with a CFTC issued … Certain Swap Reporting Obligations for Counterparties Clearing Swaps Through DCOs Acting Consistent with Exemptive …
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SEC and CFTC Charge Options Clearing Corp. with Failing to Establish and Maintain Adequate Risk Management Policies
… September 4, 2019   SEC and CFTC Charge Options Clearing Corp. with Failing to Establish and Maintain … first charging violations of Core Principles applicable to Derivatives Clearing Organizations.   “As a clearing agency, OCC performs a range … SEC and CFTC Charge Options Clearing Corp. with Failing to Establish and Maintain …
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Keynote Address of CFTC Commissioner J. Christopher Giancarlo at The Global Forum for Derivatives Markets, 35th Annual Burgenstock Conference, Geneva, Switzerland
… J. Christopher Giancarlo at The Global Forum for Derivatives Markets, 35th Annual Burgenstock Conference, … many bilateral swaps to central counterparties (CCPs) for clearing; and Three, reporting swap trades to trade … have fully implemented the PFMIs. See Derivatives Clearing Organization General Provisions and Core Principles, 76 Fed. …
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Opening Remarks of Commissioner Kristin N. Johnson at FIA L&C Panel: Futureproofing Financial Markets: AI and Derivatives Markets
… of AI to engage in fraud or market manipulation. Policing derivatives markets is one of the cornerstones of the CFTC’s … obligations for registered market participants. Designated Clearing Organizations must establish a Risk Management Committee … at FIA L&C Panel: Futureproofing Financial Markets: AI and Derivatives Markets …
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2013-27849
… 17 CFR Parts 39, 140, and 190 Derivatives Clearing Organizations and International Standards; Final Rule … 17 CFR Parts 39, 140, and 190 Derivatives Clearing Organizations and International Standards; Final …
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CFTC Issues Final Rule Modifying the Swap Clearing Requirement In Support of the Transition from LIBOR and Other Interbank Offered Rates to Alternative Reference Rates
… a final rule modifying the Commission’s interest rate swap clearing requirement under part 50 of the CFTC’s … the swaps required to be submitted for clearing to a derivatives clearing organization (DCO) or an exempt DCO and the compliance dates … CFTC Issues Final Rule Modifying the Swap Clearing Requirement In Support of the Transition from LIBOR …
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2013-19845
… 17 CFR Parts 39, 140, and 190 Derivatives Clearing Organizations and International Standards; Proposed Rule … 17 CFR Parts 39, 140, and 190 Derivatives Clearing Organizations and International Standards; Proposed …
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2010-31029
… 17 CFR Parts 1 and 39 RIN 3038-AC98 General Regulations and Derivatives Clearing Organizations AGENCY: Commodity Futures Trading Commission. … 17 CFR Parts 1 and 39 RIN 3038-AC98 General Regulations and Derivatives Clearing Organizations AGENCY: Commodity Futures …
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Global Markets Advisory Committee
… standards for regulating futures, swaps, options, and derivatives markets, as well as intermediaries. Members … GMAC Global Market Structure Subcommittee  Member Organization Represented Title Robert Lynch BNY Mellon Head … Laura Klimpel DTCC General Manager of Fixed Income Clearing Corporation, Head of SIFMU Business Development …
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2011-690
… 17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations; Proposed Rule Federal Register / Vol. 76 , … 17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations; Proposed Rule Federal Register / …
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