Swaps
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SEC, CFTC sign cooperation memo
The agreement replaces the agencies’ 2018 memorandum and sets out updated procedures for how they can work better together, and apart, from one another.
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US Customers gain access to Japan’s Yen swap market
A CFTC no-action letter means that the commission will not take enforcement action against the JSCC for clearing swaps for US clients and US customers will gain access to better pricing and liquidity.
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XLOD London 2024: Regulator insights on the future of risk management and controls
This panel discussion featured experts from the National Futures Association and Dutch financial markets authority AFM.
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FCA simplifies transparency regime for bonds and derivatives
The regulator is also establishing a bond consolidated tape to ensure that the data is accessible cost-effectively.
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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.