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Spoofing, surveillance, & supervision
With this Webinar, Jim Lundy and Nicholas Wendland from Drinker Biddle & Reath LLP will explore the increased regulatory enforcement focus on failing to supervise trading activities and how to utilize supervision and surveillance efforts to best manage this risk.
CONTINUE READINGAnnual Trends in Futures and Options Trading
This webinar will highlight the main trends in trading activity during 2018 in the global exchange-traded derivatives market.
CONTINUE READINGDon't make it worse: responding properly to US/UK investigations
A webinar focusing on the proper way to respond to US/UK regulatory investigations.
CONTINUE READINGCFTC Keynote Address - IDX 2019
Remarks from U.S. Commodity Futures Trading Commission Chairman Chris Giancarlo.
CONTINUE READINGCross-Border Clearing: Finding the Right Solution - IDX 2019
The debate on effective solutions for the oversight of cross-border clearing continues apace. This panel of regulators offered insight into the latest developments and discussed the hopes and concerns for supervision of global clearing infrastructures by rules outside of their own jurisdictions.
CONTINUE READINGESMA Consultation Papers on Market Abuse Regulation
ESMA Consultation Papers on Market Abuse Regulation
CONTINUE READINGESMA's response to FOA letter on ETD reporting
ESMA's response to FOA letter on ETD reporting
CONTINUE READINGESMAs response to FOA letter on ETD reporting (29 January 2014)
ESMAs response to FOA letter on ETD reporting (29 January 2014)
CONTINUE READINGFCA letter to FOA re Obligation to report ETD to trade repositories under EMIR
FCA letter to FOA re Obligation to report ETD to trade repositories under EMIR
CONTINUE READINGThe Financial Conduct Authority: Approach to Regulation
The Financial Conduct Authority: Approach to Regulation
CONTINUE READING