CFTC
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Potential Priorities for Wall Street’s Next Top Cop
By Andrew Ross Sorkin, Jason Karaian, Michael J. de la Merced, Lauren Hirsch, and Ephrat Livni
January 13, 2021, The New York Times
The Biden administration is set to tap …
Investors eager for next round of China financial reforms
By Karen Lai and Blake Evans-Pritchard
December 23, 2020, Risk
For China, Covid-19 was a case of first in, first out. That has sparked a strong inflow of money into …
US takes cross-agency approach to new swap dealer rules
By Wendy Lisney
December 21, 2020, Global Investor Group
The Securities and Exchange Commission is bringing together a number of divisions and offices to regulate security-based swaps in preparation for …
SEC eases path to swap dealer registration
By Wendy Lisney
December 17, 2020, Global Investor Group
A new US rule on security-based swaps will reduce the exposure of certain facilities and dealers to overlapping regulations, helping to …
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US CFTC under Tarbert rejects SEF revamp of Trump-appointed predecessor Giancarlo
By Neil Roland
December 9, 2020, MLex
The US Commodity Futures Trading Commission’s decision to make only minor changes to swap execution facility rules amounted to a repudiation of the …
High-Frequency Traders Can Keep Code Secret Under New CFTC Rule
By Benjamin Bain
December 8, 2020, Bloomberg
U.S. derivatives regulators have approved regulations for high-frequency trading that exclude a controversial plan that would have increased government access to traders’ computer …
US “must do better” on foreign CCPs – commissioner
By Wendy Lisney
December 3, 2020, Global Investor Group
The US must do better when it comes to allowing foreign central counterparties (CCPs) to offer over-the-counter (OTC) clearing to US …
More “work can be done” on CCP standards – Esma
By Perle Battistella
December 2, 2020, Global Investor Group
Regulators called for increased convergence of standards, as opposed to a divergence, in a webinar hosted by the Depository Trust & …
CFTC Adopts Rule Changes to Facilitate Foreign Swaps Clearing
November 29, 2020, Regulation Asia
The CFTC has extended no-action relief for non-US swap dealers from reporting requirements, and finalised rules for exempting non-US clearinghouses from registration requirements.
The CFTC …
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Markets Firms May Be Shut Out of Swaps on Libor Issue, CFTC Chief Warns
By William Shaw and Silla Brush
November 24, 2020, Bloomberg
A significant number of asset managers risk being locked out of the interest-rate swaps market early next year unless they …
