Displaying results 881 - 890 of 1856
Testimony before the House Committee on Agriculture
… effort to bring regulatory reform to the over-the-counter derivatives – or “swaps” – markets. This Committee passed … of swap dealers and major swap participants; 2. Imposing clearing and trade execution requirements on standardized … CFTC staff, my fellow Commissioners and I have with outside organizations, as well as the participants, issues discussed …
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Statement of Commissioner Caroline D. Pham on Effective Self-Regulation and Notice of Proposed Rulemaking to Amend Part 40 Regulations
… Oversight (DMO) and Eileen Chotiner of the Division of Clearing and Risk (DCR), as well as Jeannette Curtis and … contract markets (DCMs), swap execution facilities (SEFs), derivatives clearing organizations (DCOs), and swap data repositories (SDRs).  It …
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Speech of Commissioner Kristin Johnson: Building A Regulatory Framework for AI in Financial Markets
… obligations. These entities operate as self-regulatory organizations (SROs) or designated self-regulatory … seek to engage in fraud and manipulation of both spot and derivatives transactions may integrate AI into diverse … the following steps as we begin to outline regulation for derivatives markets.  Gathering information As a first step, …
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2010-29006
… Sarah E. Josephson, Associate Director, Division of Clearing and Intermediary Oversight, (202) 418- 5684, … accept a particular customer for the purposes of clearing derivatives; (iii) whether to submit a transaction to a particular derivatives clearing organization; (iv) setting risk tolerance levels for …
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Statement of Commissioner Dawn D. Stump for the CFTC Open Meeting, July 11, 2019
… – Registration with Alternative Compliance for Non-U.S. Derivatives Clearing Organizations; and 2) Supplemental Proposal – Exemption from …
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Remarks of Chairman J. Christopher Giancarlo before the Market Risk Advisory Committee Meeting
… to speak at the annual conference of the ABA Section on Derivatives and Futures Law. I discussed derivatives on … to give the DCMs, in their role as self-regulatory organizations, the ability to design and certify new … making that distinction. In fact, it is DCMs and Designated Clearing Organizations (DCOs) - and not CFTC staff - that …
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2015-19448
… CONTACT: Christopher Hower, Special Counsel,  Division of Clearing and Risk, Commodity Futures Trading Commission,  … the Act.  Section 2(h)(1)(B)(ii) of the CEA requires that derivatives clearing  organization (``DCO'') rules provide for the …
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Remarks of Commissioner Sharon Bowen before the Managed Funds Association’s 2015 Compliance Conference
… of regulation, including our universe of self-regulatory organizations, works efficiently and effectively. In fact, I … the control of, or the voting rights with respect to, any derivatives clearing organization that clears swaps, swap execution …
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EXTERNAL MEETINGS: EUREX - FBOT TEAM
… rule.  Eurex also presented issues related to an FBOT’s clearing agency that has a pending application with the Commission to become a derivatives clearing organization (DCO), and asked whether a pending (or …
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Remarks Before the 3rd Annual Risk Management in Energy Trading Conference
… Over the past 20 years, trading in over-the-counter (OTC) derivatives or swaps, which can serve as substitutes for or … to the OTC markets. It did this by requiring exchanges and clearinghouses to comply with broad Core Principles as self-regulatory organizations, while tasking the CFTC with oversight …
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