Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Nihal Patel ordered by Published Date Descending.
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Options Clearing Corp. Settles SEC And CFTC Charges For Risk Management Compliance Failings
The Options Clearing Corporation ("OCC") settled SEC and CFTC charges alleging failures to address risk management related compliance requirements.
United States
10 Sep 2019
FIA Urges Further Consideration Of CFTC Swap Reporting Initiatives
In a comment letter, the Futures Industry Association ("FIA") supported the CFTC's decision to extend the comment deadline on proposed swap reporting amendments.
United States
29 Aug 2019
CFTC Staff Permits Financial Institution Subsidiary To Act As Swaps Reporting Counterparty
The CFTC Division of Market Oversight ("DMO") granted time-limited relief to an Irish affiliate of a UK-based financial institution to act as reporting counterparty for certain swaps with U.S.
United States
20 Aug 2019
House And Senate Committee Leaders Support Maintaining IM Requirements For Inter-Affiliate Swaps
House Financial Services Committee Chair Maxine Waters and Senate Banking Committee Ranking Member Sherrod Brown expressed their "strong opposition" to "weakening"
United States
8 Aug 2019
Trade Associations Urge Expansion Of MMFs In Swaps Initial Margin
Several major trade associations called on U.S. prudential regulators and the CFTC to expand the types of money market funds ("MMFs") eligible for derivatives initial margin.
United States
7 Aug 2019
BCBS And IOSCO Extend Initial Margin Implementation Periods
The Basel Committee on Banking Supervision and IOSCO ("BCBS-IOSCO") extended the implementation of derivatives initial margin ("IM") requirements.
United States
30 Jul 2019
CFTC Staff Provides Guidance On Application Of Swaps Initial Margin Thresholds
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") clarified that "Phase Five" initial margin ("IM")
United States
18 Jul 2019
CFTC Staff Analyzes Alternative Calculations For Swap Dealer De Minimis Threshold
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") analyzed alternative metrics for calculating the swap dealer ("SD") de minimis threshold.
United States
18 Jul 2019
SEC Proposes Reduction In Margin Requirements For Security Futures
The SEC voted to propose a reduction in the margin requirement for an unhedged security futures position and to align the margin offset table for security futures with the reduced margin requirements.
United States
17 Jul 2019
U.S. House Ag Subcommittee Considers Brexit And Other Cross-Border Derivatives Matters
U.S. House Agriculture Subcommittee on Commodity Exchanges, Energy, and Credit considered testimony on international developments that would affect the U.S.
United States
11 Jul 2019
CFTC Provides SD De Minimis Relief To Floor Traders
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") provided no-action relief to floor traders from counting certain swaps towards the de minimis threshold for purposes
United States
11 Jul 2019
MFA Asks Prudential Regulators To Ease Burden Of Initial Margin "Phase Five" Implementation
The Managed Funds Association ("MFA") asked U.S. prudential regulators to address the regulatory burden and "trading disruptions" caused by "Phase Five" of the implementation of swaps initial margin ("IM") requirements.
United States
9 Jul 2019
Basel Committee Agrees To Advance Several Ongoing Policy And Supervisory Initiatives
The Basel Committee (the "Committee") agreed to advance several ongoing policy and supervisory initiatives concerning, among other things
United States
8 Jul 2019
The SEC Adopts Security-Based Swap Regulations Governing Capital, Margin And Collateral Segregation
The Securities and Exchange Commission ("SEC") has adopted rules under the Securities Exchange Act (the "SEA") establishing (i) capital and margin requirements applicable
United States
8 Jul 2019
ISDA Analyzes Swap Margin Requirements And Market Fragmentation
ISDA identified differences in the jurisdictional implementations of margin requirements for non-cleared derivatives that may have caused market fragmentation.
United States
1 Jul 2019
Associations Request Clarification On Implementing BCBS-IOSCO Exemptions From Certain Swaps Margin Requirements
ISDA, SIFMA, the Global Financial Markets Association and SIFMA AMG (collectively, the "associations") urged U.S. regulators to provide guidance on implementing Basel Committee on Banking Supervision
United States
24 Jun 2019
CFTC Permits Certain Amendments To "Legacy" Swaps Under Margin Rules
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted no-action relief to swap dealers to permit certain amendments to "legacy swaps" without causing them to lose their
United States
21 Jun 2019
CFTC Chair J. Christopher Giancarlo Reiterates Principles For Cross-Border Swaps Regulation
CFTC Chair J. Christopher Giancarlo outlined several principles to guide effective cross-border regulation and provided an update on the status of CFTC cross-border rulemaking.
United States
19 Jun 2019
ISDA Summarizes U.S. Margin Scoping Requirement
ISDA summarized the U.S. requirements for calculating the average aggregate notional amount ("AANA") for Phase Five initial margin ("IM") between June 1, 2019 and August 31, 2019.
United States
13 Jun 2019
Trade Associations Ask Prudential Regulators To Drop Inter-Affiliate IM Requirements
Several trade associations asked U.S. prudential (bank) regulators to eliminate the requirement that swap dealers collect initial margin from their affiliates.
United States
30 May 2019
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