Financial Times: Boards without women breed scandal
by Sophia Grene and Chris Newlands Public companies with more women on their boards are less likely to be hit by scandals such as bribery, fraud or shareholder battles, according to…
by Sophia Grene and Chris Newlands Public companies with more women on their boards are less likely to be hit by scandals such as bribery, fraud or shareholder battles, according to…
Statement on the Aggregate Impact of Financial Services Regulations Commissioner Daniel M. Gallagher March 2, 2015 During a fireside chat at today’s Institute of International Bankers’ 26th Annual Washington Conference,…
The CFTC will hold a Roundtable on Cybersecurity and System Safeguards Testing on March 18 from 9 am to 5 pm in Washington DC. The CFTC has issued the below…
February 27, 2015 NEW YORK, Feb. 27, 2015 /PRNewswire/ -- In the aftermath of the financial crisis, policymakers around the world introduced regulations aimed at strengthening and safeguarding financial markets.…
The CFTC has re-opened the comment period for Position Limits and Aggregation Limits in conjunction with the CFTC’s Energy and Environmental Markets Advisory Committee meeting. In its Notice of Proposed…
LONDON, Feb. 11, 2015 /PRNewswire/ -- The derivatives industry faces challenges in the proposed introduction of margin requirements for non-cleared OTC derivatives transactions. Women in Derivatives (WIND), a nonprofit organization…
The SEC has just issued today the attached pre-publication versions (with links) of: (1) final rules on Security-Based Swap Data Repository (SB SDR) Registration, and Regulation SBSR – Reporting and…
Today, the OCIE’s National Examination Program staff (the "Staff"), recently examined 57 registered broker-dealers and 49 registered investment advisers to better understand how broker-dealers and advisers address the legal, regulatory,…
On January 28, the CFTC published in the Federal Register a renewal of its proposed information collection notice regarding information management requirements for DCOs (comments due March 30, 2015).
On January 29, CFTC Commissioner Giancarlo released a White Paper analyzing and expressing his concerns regarding the CFTC’s swap trading regulatory framework (see Press Release). In it he states: I…