Displaying results 471 - 480 of 525
… Comments addressing the NOPR were received from: (1) ACM Capital Management (``ACM'') June 15, 2011 (``CL- ACM''); … master agreement reporting. ISDA and SIFMA recommended against a master agreement library, stating that a … SEC and international regulators to ensure where possible against material, substantive difference in reporting …
… \69\ See, e.g., Barclays Capital CL at 5; World Federation of Exchanges CL at 2; … the ODSG coordinated with the ``G-14 banks'' in order to gain written permission to access the non-public swap … be inappropriate in light of the statutory prohibition against references to credit ratings in federal regulations. …
… markets); clearing and settlement risks (as more firms gain access to trading platforms, trades may not be subject … algorithmic order origination among market participants. Against this backdrop, the Commission believes that … of (i) orders exceeding appropriate pre-set credit or capital thresholds in the aggregate for each customer and …
… unique digital assets in circulation with a combined market capitalization of approximately $2 trillion. At the center … product. [21] Last month, the CFTC filed a complaint against a commodity pool fraudulently soliciting bitcoin from … and rotational opportunities for all CFTC employees to gain exposure and expertise. OTI will continue to lead the …
… and Conference Chairs for bringing us all together again. I would like to jump right in and talk about the Super … in the rules making it difficult for the Commission to gain a clear understanding of how specific risk exposures … determinations addressing cross-border matters relating to capital and financial reporting, swap trading relationship …
… American agriculture commodity futures markets is once again front and center; Our consumer education efforts are … financial landscape with far ranging implications for capital formation and risk transfer. They are transforming … the CFTC filed a series of civil enforcement actions against perpetrators of fraud, market manipulation and …
… on the use or disclosure of material non-public information gained through the performance of official duties by board … committee members, and contract market employees, or gained through an ownership interest in the contract … to the board composition, succession planning and human capital management; (3) potential improvement to the SEF's …
… Schoeffler, Special Counsel, at 202-551-3860, Office of Capital Markets Trends, Division of Corporation Finance, or … insurance; annuities; disability insurance; insurance against default on individual residential mortgages (commonly … (fidelity bonds, disability insurance and insurance against default on individual residential mortgages), adding …
… of the part 37 implementation process, the Commission has gained greater familiarity with the swaps markets, in … that SEFs have the ability to take disciplinary action against the individual or entity--the asset manager--that … safety; \391\ platforms that established objective minimum capital or credit requirements; \392\ and platforms that …
… 2012, a trading firm in the securities markets--Knight Capital Group--submitted a significant number of errant … conduct testing and supervision of trading systems. There again, the Commission indicated that further measures would … are clearing members to pre-screen orders of DMA clients against risk limits that are established by the FCM. See 17 …