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Swaps
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Westpac Banking Corporation charged A$1.8m for unconscionable conduct
Westpac’s pre-hedging exposed its client to significant risk, resulting in latest of series of fines for the firm.
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Security-based swap execution facility registration? The SEC has rules
Adoption of framework designed to increase transparency and integrity, says regulator.
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CFTC fines Goldman Sachs for failure to preserve audio recordings during pandemic
Civil fine relates to Goldman’s prior recordkeeping failures, but there is some dissent from Commissioners over sanctions.
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CFTC modifies swap recordkeeping and reporting technical specifications
UPI designated for credit, equity, FX and interest rate asset classes.