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Resources for Regulators
On Sept. 17, the International Organization of Securities Commissions published the final report of a task force it set up in 2013 to address the challenges of cross-border regulation.
CONTINUE READINGReporting Violations
On April 22, the U.K.'s Financial Conduct Authority announced that it fined Merrill Lynch International £13.2 million ($20.5 million) for incorrectly reporting more than 35 million transactions and failing to report another 121,387 transactions between November 2007 and November 2014.
CONTINUE READINGRegulatory Reporting
On Sept. 28, the Commodity Futures Trading Commission provided futures and swaps traders with additional time to comply with new reporting requirements established by the CFTC’s Ownership and Control Reporting final rule.
CONTINUE READINGRegulatory Dialogue
In July FIA Asia submitted comments to the Australian Securities and Investments Commission on proposed rules for mandatory clearing for OTC interest rate swaps.
CONTINUE READINGRegulating Swaps
The Hong Kong Monetary Authority and the Securities and Futures Commission jointly issued a consultation on introducing the first phase of mandatory clearing and the second phase of mandatory reporting.
CONTINUE READINGRegulating 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.
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