Displaying results 31 - 40 of 102
… sets standards for the regulation of banks, published the ``Capital Requirements for Bank Exposures to Central … scenario. New Sec. 39.11(c)(2)(iii) allows a DCO to net gains in the house account with losses in the customer … a DCO from netting losses in the house account with gains in the customer account. New Sec. 39.11(c)(2)(iv), as …
… and/or futures commission merchant (FCM) risk reviews to gain a deeper understanding of a trading strategy, risk … warrant heightened scrutiny under current conditions. To gain insight into how markets operate during stressed market … initial margin and guaranty fund contribution, is the DCO's capital contribution. The third layer of protection against …
… would not recommend the Commission take enforcement action against certain small bank holding companies, savings and … not recommend that the Commission take enforcement action against bank holding companies and savings and loan holding … financial funds consisting of 138 banks, 16 venture capital funds, 297 credit unions, 90 depository institution …
… federal and state regulation of these products, including capital and margin requirements that would have reduced the … In contrast, some commenters argued against adopting the Guidance Approach. One commenter argued … Two commenters specifically argued against the Prudential Regulators' Approach. One commenter …
… U.S. affiliates of a non-U.S. CPO to contribute initial capital to such non- U.S. CPO's offshore pools, without … retains the authority to take enforcement action against any non-U.S. CPO claiming the 3.10 Exemption based on … retains the authority to take enforcement action against any non-U.S. CPO claiming the 3.10 Exemption based on …
… (``MSPs'') in subparts F and J of part 23; \14\ capital and margin requirements for SDs and MSPs under CEA … that the Commission commence an enforcement action against a market participant that is a Non-SD/MSP for failing … Electric Associations, COPE and Southern each recommended against adoption of the proposed Notice Requirement.\52\ …
… and/or futures commission merchant (FCM) risk reviews to gain a deeper understanding of a trading strategy, risk … heightened scrutiny under current market conditions. To gain insight into how markets operate during stressed market … initial margin and guaranty fund contribution, is the DCO's capital contribution. The third layer of protection against …
… funds, securities, or property, either directly or through capital contributions, the sale of stock or other forms of … relying upon its broader enforcement powers to safeguard against fraud at inception, and throughout the lifecycle of … (reciting allegations from a complaint against a 4.7 CTA stating that the CTA promised …
… to, market, credit, liquidity, segregation, settlement, capital, and operational risk.[7] Taken together, the RMP … there were additional opportunities for it to act to gain ongoing transparency into, and to provide further … account.[18] Other regulators have also taken action against banks registered as swap entities where failed …
… sets standards for the regulation of banks, published the ``Capital Requirements for Bank Exposures to Central … its largest financial exposure, a DCO may net any gains in the house account with customer losses, if … however, a DCO may not net losses in the house account with gains in the customer account. Proposed Sec. …