Dealers
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Keeping Score of Trade Compliance: A Regulator’s Perspective from Tom Sexton, NFA CEO
By Rick Lane, Trading Technologies
Originally published on the Trading Technologies Trade Talk blog and on the TABBFORUM
NFA, the self-regulatory organization for the U.S. derivatives industry, strives to safeguard …
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Prop Traders Excluded Under SEF Reform, Berkovitz Warns
By James Thursfield
January 29, 2019, Global Investor Group
Non-dealer prop traders could be excluded from trading with swaps dealers under the proposed changes to swap execution facilities (SEF) rules, …
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Brexit Threatens to Reopen Asian Bail-In Clauses for E.U. Banks
By Blake Evans-Pritchard
January 20, 2019, Risk
A fix designed to make it easier for Asian subsidiaries of European Union banks to comply with resolution rules in their home jurisdiction …
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Checking in on OTC Reporting Rules
By Russell Rhoads, TABB Group
Originally published on the TABBFORUM
Following the global financial crisis, the G20 directed regulators around the world to develop rules and a structure to reduce …
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On the Regulatory Front, All Eyes Are on Disclosure in 2019
By Kyle Glazier
December 26, 2018, The Bond Buyer
The municipal market faces a year of adjustment as regulators slow the pace of new rulemaking and focus on enforcement, with …
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SEC Should Harmonize Capital Rules for Swap Dealers with Other Regulators, Industry Says
December 14, 2018, MLex
The U.S. Securities and Exchange Commission is being peppered by industry requests to harmonize capital, margin and segregation rules for derivative dealers with those of other …
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Don’t Wave Dodd-Frank Goodbye Just Yet
By Anne-Charlotte Duhaut, RegTek.Solutions
Originally published on the TABBFORUM
Despite deregulation promises from the current administration, U.S. regulators are keeping the Dodd-Frank Act alive as they continue their push for …
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Dealers See Need for More Benchmark Transparency
By Kyle Glazier
November 28, 2018, The Bond Buyer
The transparency of some market benchmarks used to price new municipal bonds needs improvement, dealer groups told the Municipal Securities Rulemaking …
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Brexit Drama Muddies Water for FX Options Market
By Ben St. Clair
November 22, 2018, Risk
Foreign exchange options traders are revising their Brexit strategies and positions after recent political ructions caught them unawares. Fierce domestic opposition to …
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MiFID II Helps Tradeweb Reach Record European ETF Volumes in January
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Big Asset Managers Cut Research Costs at Higher Rate
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Brussels Rejects Plea for Dual-Listed London Shares Trading
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The Evolution of the DSB Product Committee: Helping Industry and ISINs Align
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No-Deal Brexit May Move MiFID II Thresholds – Maijoor
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MiFID II Helps Tradeweb Reach Record European ETF Volumes in January
-
Big Asset Managers Cut Research Costs at Higher Rate
-
Brussels Rejects Plea for Dual-Listed London Shares Trading
-
The Evolution of the DSB Product Committee: Helping Industry and ISINs Align
-
No-Deal Brexit May Move MiFID II Thresholds – Maijoor
Keeping Score of Trade Compliance: A Regulator’s Perspective from Tom Sexton, NFA CEO, Part II
By Rick Lane, Trading Technologies
Originally published on the Trading Technologies Trade Talk blog and on the TABBFORUM
Recently, Trading Technologies’ CEO Rick Lane sat down with NFA President and …
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