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CFTC

ISDA Comment Letter to CFTC Proposed Swap Execution Facilities and Trade Execution Requirement

ISDA appreciates the opportunity to submit these comments on the proposed revisions to the regulations of swap execution facilities (SEFs) and the trade execution requirement published by the US Commodity Futures Trading Commission (CFTC) on November 30, 2018.

Status of Financial Regulatory Leadership Changes

As the new Congress gets underway, we have updated our brief deck summarizing the leadership and staffing changes among federal financial regulators, including announced nominations, confirmations, resignations and expiring terms.  The first slide summarizes the state of play for the agencies’ principals; the later slides provide a deeper look on an agency-by-agency basis, including select senior staff.  We intend to continue to update this resource from time t

ISDA Symposium® Developments in Regulatory Compliance, Cross-border & Impact of Brexit, March 7, NY

Join us in New York on Thursday, March 7th for the ISDA Symposium – Developments in Regulatory Compliance, Cross-Border & Impact of Brexit, from 12:45 PM – 4:10 PM, featuring speakers from ISDA, Morgan Stanley, Citigroup, CFTC, Covington & Burling, Dunn & Crutcher, The D.E. Shaw Group, and Linklaters.

Program topics include:

CFTC adds four UK-based MTFs to SEF exemption list

Hard Brexit: An Impact Assessment for US Entities Registered with the CFTC

This paper highlights the issues that must be addressed in the case of a ‘hard’ Brexit. Specifically, it:

Status of Financial Regulatory Leadership Changes

As we emerge from the midterm election season, we have updated our brief deck summarizing the leadership and staffing changes among federal financial regulators, including announced nominations, confirmations, resignations and expiring terms.  The first slide summarizes the state of play for the agencies’ principals; the later slides provide a deeper look on an agency-by-agency basis, including select senior staff.  We intend to continue to update this res

Davis Polk Financial Services Regulatory Reform Tool—Post Midterm Election Edition

Financial services regulatory reform will continue to evolve in 2018 and 2019.  As we observe the changing legislative landscape, here is the Post Midterm Election Edition of our reference tool, which provides context and summarizes current developments across a range of key regulatory areas, agencies and actors.  We will continue to track these issues and will provide our next update early in the new year.

Don’t Wave Dodd-Frank Goodbye Just Yet

DON’T WAVE DODD-FRANK GOODBYE JUST YET

by Anne-Charlotte Duhaut, Marketing Director at RegTek.Solutions 

Commerzbank to pay $12 million for swaps dealing violations

Former Deutsche Bank swaps trader fined $350,000 for trying to hide trading losses

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