Markets in Financial Instruments Directive II

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…

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Margin Requirements for Uncleared Derivatives

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).  

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Global Regulations Creating Unintended Challenges

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.…

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CFTC Opens Comment Period on Position Limits

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…

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Challenges of Implementing BCBS-IOSCO

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…

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SEC’s Results from Cybersecurity Sweep Exams

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,…

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