Displaying results 11 - 20 of 102
… risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, and … foreign futures contracts, plus or minus any unrealized gains or losses on such open positions, plus any funds … to secure such options, plus or minus any unrealized gains or losses on such options) (i.e., the ``Alternative …
… Director, [email protected] , Michael E. Spencer, Chief, Capital Markets Strategies, [email protected] , Andrew D. … Since the adoption of the 2013 rule, the agencies have gained several years of experience implementing the 2013 … rule did not provide a sufficient financial disincentive against proprietary trading and encouraged the agencies to …
… 17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap … Although the general capital treatment of unsecured market gains as non-current assets and the capital charges for … The Commission again received comments from a broad spectrum of market …
… risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, and … i. Liens j. Examination of Accounts 5. Prohibition Against Commingling Customer Funds 6. Limitations on the Use … foreign futures contracts, plus or minus any unrealized gains or losses on such open positions, plus any funds …
… risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, and … i. Liens j. Examination of Accounts 5. Prohibition Against Commingling Customer Funds 6. Limitations on the Use … foreign futures contracts, plus or minus any unrealized gains or losses on such open positions, plus any funds …
… risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, and … i. Liens j. Examination of Accounts 5. Prohibition Against Commingling Customer Funds 6. Limitations on the Use … foreign futures contracts, plus or minus any unrealized gains or losses on such open positions, plus any funds …
… requiring FCMs to maintain a minimum level of regulatory capital,\5\ to segregate customer funds from their own funds … received from the Project Kiss initiative and knowledge gained through Commission staff's firsthand experience with … 83 FR 31078 (July 3, 2018). \37\ Commission staff gained first-hand experience with the supervisory programs …
… entity that is highly leveraged relative to the amount of capital it holds and that is not subject to capital … risk, etc.), making it difficult for the Commission to gain a clear understanding of how specific risk exposures … its lingering supply chain disruptions, Russia's war against Ukraine, climate disasters that proved to be the …
… 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 …
… to the end of the pool's first fiscal year the total gross capital contributions received by the CPO for units of … with the Part 4 rules outweighs the benefits to be gained from regulating family, club and small pools.'' 44 FR … areas of consideration, discussed below. The baseline against which the Proposal is compared is the status quo, …