Displaying results 61 - 70 of 102
… for International Settlements (``BIS''), ``Cyber attacks against the financial system are becoming more frequent, more … for cyber-crime in securities markets, away from financial gain and towards more destabilizing aims.'' \9\ … mitigation, and monitoring of security and technology risk. Capital planning and investment with respect to security and …
… funds, securities, or property, either directly or through capital contributions, the sale of stock or other forms of … performing a study to determine if the prohibition against statutory disqualifications was actually needed in … the derivatives markets by ensuring that bad actors cannot gain access to the funds of innocent, third-party investors …
… including uncovered credit losses, liquidity shortfalls or capital inadequacy, as well as any structural weaknesses … Council Makes First Designations in Effort to Protect Against Future Financial Crises (Jul. 18, 2012), available … that the derivatives clearing organization must charge against capital. Under the second group, losses arising …
… Costs, and Effects on Efficiency, Competition, and Capital Formation 1. Benefits 2. Costs D. … fund advisers. The Commissions consulted with FSOC to gain input on these amendments and to help ensure that Form … assets so counterparties would only have recourse against the trading vehicle and not against the private …
… transactions. The Commission is also specifying market risk capital charges that an FCM would be required to take on … before the Specified Foreign Sovereign Debt may be used again as a Permitted Investment under Regulation 1.25? For … Invesco states that an ETF would allow FCMs and DCOs to gain exposure to short-term U.S. Treasury securities …
… funds, securities, or property, either directly or through capital contributions, the sale of stock or other forms of … the Commission also proposed to add a prohibition against statutory disqualifications listed in CEA sections … 83 FR 52909 (citing Commission staff's experience ``gained through the continued availability of the CPO Family …
… Fund (``AFR''); Associated Foreign Exchange, Inc. & GPS Capital Markets, Inc. (``AFEX/GPS''); Chris Barnard … the Commission expects that if a person could bring suit against the trustee for breach of fiduciary duty in a U.S. … rules. Chatham stated that the catch-all prong works against the core purposes of the cross-border rules, to …
… which provides for private rights of action for damages against persons who violate the CEA, or persons who … sustained losses from such violations or a disgorgement of gains received in connection with such violations … SPP further states that its Tariff includes minimum capitalization criteria that require market participants to …
… 35, entitled ``Agricultural Swaps,'' CEA section 4c(b) was again cited as one of the authorizing statutory provisions. … and agricultural swaps working group that includes Barclays Capital, Citigroup, Credit Suisse Securities (USA) LLC, … exemption is an exemption from the existing prohibition against off-exchange commodity option transactions in 17 CFR …
… prudential regulators exclusive authority to prescribe capital and margin requirements for SDs and MSPs that are … organizations; and (b) the filing of such complaints against entities that may be classified as MSPs is neither … a record of complaints, or a pattern of complaints, made against an MSP could be of regulatory value to the …