Displaying results 21 - 30 of 102
… Order and Request for Comment on an Application for a Capital Comparability Determination Submitted on Behalf of … 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 …
… hundred persons (or, in the case of a qualifying venture capital fund, 250 persons) and which is not making and does … The Commissions have consulted with FSOC to gain input on this proposal, and to help ensure that Form … assets so counterparties would only have recourse against the trading vehicle and not against the private …
… and stakeholders make good use of available market data to gain insight about market interactions, risk flows, and … ; ``Capital Markets: innovation and the FinTech landscape,'' … and EY (2016), http://www.ey.com/Publication/ vwLUAssets/EY-capital-markets-innovation-and-the-finTech-landscape/ …
… would have the opportunity to make the certification again and stop aggregating, [ssquf] upon any call by the … actual common trading control.'' \42\ The Center for Capital Markets Competitiveness of the U.S. Chamber of … status quo, the Commission may bring enforcement action against an investor if it directs or otherwise controls the …
… FUTURES TRADING COMMISSION 17 CFR Part 23 RIN 3038-AF33 Capital and Financial Reporting Requirements for Swap … that the Commission engage in an enforcement action against bank SDs providing the Commission with copies of … that the Division would not recommend enforcement action against certain foreign-domiciled bank SDs (``Non-U.S. bank …
… Order and Request for Comment on an Application for a Capital Comparability Determination Submitted on Behalf of … 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 …
… U.S. control affiliates of a non-U.S. CPO to contribute capital to such CPO's offshore pools as part of the initial … would retain the authority to take enforcement action against any non-U.S. CPO claiming the 3.10 Exemption based on … or satisfy such conditions or requirements.\44\ Moreover, again as noted above, the Commission would retain the …
… procedures to preclude one entity from having knowledge of, gaining access to, or receiving data about, trades of the … upon further review. Last, the Commission noted that as it gained further experience with the exemption for federal law … \30\ CL-FIA, Private Equity Growth Capital Council on June 29, 2012 (``CL-PEGCC''). \31\ …
… would have the opportunity to make the certification again and stop aggregating, upon any call by the Commission, … of the owned entity, as was suggested by the Center for Capital Markets Competitiveness of the U.S. Chamber of … Association and the Chicago Board of Trade which argued against aggregation based only on ownership.\97\ In response …
… Order and Request for Comment on an Application for a Capital Comparability Determination Submitted on Behalf of … 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 …