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Author: Lona Mozumder

This author has written 75 articles

New Division at the SEC

  • Post author:Lona Mozumder
  • Post published:September 18, 2014
  • Post category:NEWS

On September 11, the SEC announced a new office within the Division of Economic and Risk Analysis – the Office of Risk Assessment

Continue ReadingNew Division at the SEC

Statement of CFTC Chairman Tim Massad on the Dismissal of the Cross Border Lawsuit

  • Post author:Lona Mozumder
  • Post published:September 16, 2014
  • Post category:NEWS

U.S. Commodity Futures Trading Commission Chairman Tim Massad made the following statement on the dismissal of the Cross Border Lawsuit. It may be found here.

Continue ReadingStatement of CFTC Chairman Tim Massad on the Dismissal of the Cross Border Lawsuit

ISDA extends the cut-off date for adherence to the 2014 CDS Protocol until 12 noon, NYT, on Sept. 17.

  • Post author:Lona Mozumder
  • Post published:September 12, 2014
  • Post category:NEWS

Continue ReadingISDA extends the cut-off date for adherence to the 2014 CDS Protocol until 12 noon, NYT, on Sept. 17.

International Regulatory Update

  • Post author:Lona Mozumder
  • Post published:September 11, 2014
  • Post category:NEWS

• On September 9, IOSCO released a Final Report on Commodity Derivatives Supervisory Principles. • On September 4, ESMA released Guidelines and Recommendations regarding the implementation of PFMIs for CCPs.…

Continue ReadingInternational Regulatory Update

CPOs can Consolidate Annual Report Financial Statements and Form CPO-PQR

  • Post author:Lona Mozumder
  • Post published:September 11, 2014
  • Post category:NEWS

On September 8, the CFTC issued a No-Action Letter for CPOs that allows the consolidation of certain parent/subsidiary reporting requirements. See here for the letter.

Continue ReadingCPOs can Consolidate Annual Report Financial Statements and Form CPO-PQR

CFTC Exemptive Letter CPO-PQR

  • Post author:Lona Mozumder
  • Post published:September 11, 2014
  • Post category:NEWS

On September 8, the CFTC published exemptive relief for certain CPOs for CPO-PQR filings. CPOs that only operate pools pursuant to CFTC regulations 4.5 or 4.13(3) are provided exemptive relief…

Continue ReadingCFTC Exemptive Letter CPO-PQR

Cross Border Implementation

  • Post author:Lona Mozumder
  • Post published:September 11, 2014
  • Post category:NEWS

On September 10, the Over-the-Counter Derivatives Regulators Group (ODRG) issued a report that provides an update to the G20 on further progress in resolving OTC derivatives cross-border implementation issues and…

Continue ReadingCross Border Implementation

Massad announces Open Meeting Sept 17

  • Post author:Lona Mozumder
  • Post published:September 11, 2014
  • Post category:NEWS

CFTC Chairman Massad announced that the CFTC would hold an open meeting to discuss: Proposed Rule on Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants Final…

Continue ReadingMassad announces Open Meeting Sept 17

Global Regulators Seeking Significant Changes to Derivatives Contracts

  • Post author:Lona Mozumder
  • Post published:September 11, 2014
  • Post category:NEWS

By Katy Burne of the Wall Street Journal Global regulators are pushing for significant changes to derivatives contracts in a bid for more time to resolve potential failures by financial…

Continue ReadingGlobal Regulators Seeking Significant Changes to Derivatives Contracts

CFTC Grants JOBS Act Relief

  • Post author:Lona Mozumder
  • Post published:September 10, 2014
  • Post category:NEWS

The CFTC exemptive letter provides consistency with the Jumpstart Our Business Startups Act (JOBS ACT), which was enacted on April 5, 2012.  Pursuant to a legislative directive, the SEC adopted…

Continue ReadingCFTC Grants JOBS Act Relief
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