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

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.

• 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.…

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.

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…

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…

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…

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…

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…