Displaying results 81 - 90 of 121
… Capital Requirements Directive (``CRD''):\17\ CRD is also a … be based on a comparison of specific foreign requirements against the specific related CEA provisions and Commission … being voted on by the Commission, the full Commission only gained access to the comment letters from foreign regulators …
… intensity, enhanced disclosure requirements, and a capital surcharge.\16\ Canada's provincial securities … be based on a comparison of specific foreign requirements against the specific related CEA provisions and Commission … management function effectively monitors risk positions against approved limits and ensures that material breaches …
… certain financial records,\6\ records of complaints \7\ against personnel, and marketing materials would be required … reporting, including reporting for compliance with capital rules, will be proposed in a separate rulemaking. … and types of collateral transferred; and (ix) All charges against and credits to each counterparty's account, including …
… provide the portals through which market participants gain access to DCOs. Clearing members also provide the first … Geneva Trading USA, LLC; GETCO; Hard Eight Futures; HTG Capital Partners; IMC Financial Markets; Infinium Capital … Sec. 39.12(b)(7)(ii) to permit DCOs to screen trades against applicable product and credit criteria before …
… a. First Category of Entity-Level Requirements i. Capital Adequacy ii. Chief Compliance Officer iii. Risk … families and businesses deserve strong protections against the risks posed by derivatives trading, including … purpose of Title VII to protect the U.S. financial system against the build-up of systemic risks, the Commission does …
… control, (ii) operation at cost, and (iii) subordination of capital. See 44 T.C. 305 (1965); see also Internal Revenue … proposed conditions would be to allow the Commission to gain greater visibility with respect to Exempt Non-Financial … maintain the ability to initiate enforcement proceedings against Exempt Entities' found to be engaged in manipulative, …
… Exchange; CME Group; Futures Industry Association; Barclays Capital; Henderson & Lyman; National Introducing Brokers … Cleared Swaps can be fulfilled by delivery or by offset against other Cleared Swaps, as is the case with futures. … the use of electronic signatures, including safeguards against alteration of the record of the electronic signature. …
… letters from numerous parties, including the following: ACM Capital Management; Alice Corporation; Alternative … with the rationale for the requirement to recertify again as part of such event.\69\ Instead, MGEX suggested that … commenters' suggestion that a DCM's ultimate recourse against non-members who fail to cooperate in investigations …
… collateral segregation requirements, and margin and capital may all directly or indirectly require registrants … [[Page 55909]] its internal policies and procedures against third parties. 6. Payment Obligation Terms--Sec. … under Sec. 39.6(b). The Commission notes that protections against release of reported proprietary information are …
… discriminatory access requirements as a competitive tool against certain participants. Access to a DCM should be based … including trading ahead of customer orders, trading against customer orders, accommodation trading, and improper … dramatically, and allow traders to assess and secure their capital needs in the face of potential margin calls. …