The Financial Conduct Authority released a draft consultation regarding MiFID II implementation. It requests views on the following topics: The extent to which the FCA should apply MiFID II provisions to insurance-based…
On March 18, BCBS/IOSCO issued a release extending the start date for the implementation of margin requirements for uncleared derivatives to September 2016 (see Summary of Revisions; Press Release).
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,…
