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Searching Content indexed under Compliance 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
2
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
3
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
4
SEC Proposes Risk Mitigation Techniques For Uncleared Security-Based Swaps
The SEC proposed establishing "risk mitigation" requirements applicable to security-based swap dealers ("SBSDs"), including portfolio reconciliation and compression, and swap trading relationship
United States
3 Jan 2019
5
CFTC Amends Rules Governing Chief Compliance Officer Duties
The CFTC approved final amendments to clarify the duties of chief compliance officers of futures commission merchants ("FCMs"), swap dealers and major swap participants (together, "CCOs").
United States
29 Aug 2018
6
Choose One: Best Interest Or Full Service
On April 18, the SEC approved the publication of three releases proposing new regulatory requirements that are intended to expand and clarify the duties that broker-dealers and investment advisers...
United States
3 May 2018
7
SEC Extends SDR Registration Compliance Date
The SEC extended an exemption for security-based swap data repositories ("SDRs") from compliance with rules that govern the SDR registration process, duties and core principles under Title VII of the Dodd-Frank Act.
United States
13 Apr 2017
8
Senators Urge SEC To Reissue Resource Extraction Rule
Twelve Democratic Senators urged the SEC to "promptly re-issue a new anti-corruption rule implementing Section 1504 of the . . . Dodd-Frank Act . . . that is consistent with both Congressional intent and...
United States
13 Apr 2017
9
SEC Adopts Security-Based Swap Transaction Reporting Amendments And Guidance
At an open meeting, the SEC voted to adopt amendments and guidance related to its rules concerning the regulatory reporting and public dissemination of security-based swap transactions.
United States
20 Jul 2016
10
CFTC Issues Final Cross-Border Margin Rule
The CFTC voted 2-1 to adopt rules (the "Cross-Border Margin Rules") regarding the application of the CFTC margin requirements for uncleared swaps in the context of cross-border transactions.
United States
3 Jun 2016
11
SEC SBSD Recordkeeping And Reporting Proposal
The SEC has published proposed recordkeeping, reporting and capital deficiency notification requirements that would apply to security-based swap dealers ("SBSDs") and major security-based swap participants ("MSBSPs") as well as to other SEC-registered broker-dealers that enter into security-based swaps.
United States
26 Apr 2014
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