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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Women in Derivatives News

U.S. (CFTC, SEC, U.S. Prudential Regulators): • On January 14, the SEC held an Open Meeting approving the following by votes of 3-2 (dissents by Commissioners Gallagher and Piwowar; also…

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Recent Regulatory Activity

CFTC, SEC, U.S. Prudential Regulators: On January 6, the CFTC issued a No-Action Letter providing relief to swap dealers from compliance with certain CCO reporting line requirements (see Press Release).…

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