Displaying results 481 - 490 of 525
… for cyber-crime in securities markets, away from financial gain and towards more destabilizing aims.'' \13\ … informed by how its controls and countermeasures stack up against the techniques, tactics, and procedures used by its … been addressed, and inform related budgetary decisions and capital investment.\92\ FFIEC calls for controls testing …
… claims for such funds, and ahead of most other claims against the DCO's estate.\23\ Further, part 190 of the … regulations establishes how clearing members' claims against the DCO's estate should be determined and how … company that has in excess of $1 billion of regulatory capital, an FCM, or a DCO. Foreign central banks, as …
… activities in the silver market to an attempt to hedge against Carter-era inflation and a defense against potential confiscation of precious metals in the … Randall, ``The Commodities Market Bubble: Money Manager Capitalism and the Financialization of Commodities,'' …
… or DCM's determination would be influenced by a desire to gain a ``first-mover advantage,'' (i.e., acquiring market … that as centralized trading develops and the Commission gains experience in oversight of swap markets, the … (listing uncontrolled leverage; lack of transparency, capital and collateral requirements; speculation; …
… 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 … (fidelity bonds, disability insurance and insurance against default on individual residential mortgages), adding …
… or dealer to execute a Required Transaction by trading against a customer's order, or executing two customers' orders against each other, through pre-negotiation or … new bond issuances in helping market participants to raise capital and fund origination loans for businesses and …
… be based on a comparison of specific foreign requirements against the specific related CEA provisions and Commission … in Switzerland. This notice also does not address capital adequacy because the Commission has not yet … being voted on by the Commission, the full Commission only gained access to the comment letters from foreign regulators …
… from the prohibition in section 4d(f) of the CEA against accepting customer funds to clear swaps at a … regulations applicable to FCMs, including minimum capital, segregation of customer funds, and financial … in connection with any actions or proceedings brought against, or investigations relating to, the exempt …
… trust. I will discuss how FTX chased the public’s trust, gained it, and then violated it. I will discuss how FTX’s … serious questions surrounding the due diligence by venture capital, pension, hedge funds, and other equity investors. I … the crypto industry will need to take if it wants to regain any amount of public trust—steps that will also protect …
… funds, securities, or property, either directly or through capital contributions, the sale of stock or other forms of … with each of aspect of the proposal. The baseline against which these costs and benefits are compared is the … requirements in Schedules B and C, particularly if, again, such CPOs are also required to file Form PF. 2. …