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Regulating Swap Dealers
On April 29, the Securities and Exchange Commission proposed several changes to its rules for applying the swaps-related provisions of Dodd-Frank to non-U.S. entities that conduct dealing activity in the U.S.
CONTINUE READINGReg Report Card
On June 8 FIA Europe published a review of the cumulative effect of European derivatives reform, setting out the core issues and offering potential solutions to encourage further debate.
CONTINUE READINGRed October
U.S. regulatory agencies issued a joint report in July on their analysis of an extraordinary wave of trading in the Treasury market on Oct. 15.
CONTINUE READINGRecord Fine
Deutsche Bank announced on April 23 that it reached joint settlements with U.K. and U.S. regulators as part of an industry-wide investigation into manipulation of interest rate benchmarks.
CONTINUE READINGRecognizing Those in Our Industry Who Give Back
IN A CHICAGO neighborhood where the number of violent crime reports ranks 9th among Chicago’s 77 communities, DRW College Prep is making a difference in the lives of hundreds of high school students.
CONTINUE READINGPreparing for Remit
On Sept. 24, FIA issued a notice summarizing the registration and reporting requirements of the EU Regulation on Wholesale Energy Markets Integrity and Transparency (REMIT).
CONTINUE READINGPosition Limits Update
The Commodity Futures Trading Commission is moving forward cautiously on position limits, one of the most difficult and controversial pieces of Dodd-Frank.
CONTINUE READINGOwner vs. Member
The Securities and Exchange Commission on Sept. 10 issued an order lifting a stay of approval on the OCC’s plan to raise additional capital and a second order initiating a review of the approval.
CONTINUE READINGOverseas Access
The Monetary Authority of Singapore has issued a consultation on regulatory amendments that would allow clearinghouses based in Singapore to admit overseas clearing firms as members.
CONTINUE READINGOTC Derivatives Reform
On April 28, the Monetary Authority of Singapore issued a consultation paper to further implement OTC regulatory reform in Singapore.
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