Displaying results 331 - 340 of 1184
Industry Filings
...August 2005 Filings by Designated Contract Markets (DCMs)           Date of Letter Date Filed DCM Description   08/31/2005 09/01/2005 NYMEX The RVP requirement for September 1 through 15, 2005 as specified in…
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CFTC Orders Three Financial Institutions to Pay Over $50 Million for Swap Reporting Failures and Other Violations
...Washington, D.C. — The Commodity Futures Trading Commission today issued orders simultaneously filing and settling charges with affiliates of three financial institutions for a variety of swap dealer activities including failures related to swap data reporting and, in one case, failures related to the disclosure of Pre-Trade Mid-Market Marks (PTMMMs). The settling financial institutions,…
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Economic Requirements
... Economic Requirements Interpretative Statement Appendix C to Part 38 (formerly Guideline No. 1), 17 CFR Part 38 Appendix C, provides guidance on the type of information a designated contract market (DCM) should provide, if requested, to demonstrate its compliance with Core Principle 3 on an initial and continuing basis.Physical Delivery Futures 1.…
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2016-22045
… of principal and interest by, the Bank for International Settlements, the International Monetary Fund, or a … Notice No. 16, these are generally: Bank for International Settlements, International Monetary Fund, European Central … of principal and interest by, the Bank for International Settlements, the International Monetary Fund, or a …
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Statement of Commissioner Kristin N. Johnson Regarding Notice of Proposed Rulemaking Making Amendments to Parts 43 and 45 Swap Data Reporting Technical Specifications
… Roberts and Lee Baker of OCE. [1]   Bank for International Settlements, BIS Quarterly Review , June 2018 at …
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Opening Remarks of Commissioner Kristin N. Johnson: The South African Reserve Bank Fintech Summit
... Introduction Good morning. It is my pleasure to join you today for the South African Reserve Bank’s Fintech Summit. I would like to thank everyone who worked tirelessly to organize the event. I am particularly thankful for the efforts of Lyle Horsley, Divisional Head- FinTech of the South African Reserve Bank. The remarks that I will share reflect my opinion and not the views of the…
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Industry Filings
... September 2004 Filings by Designated Contract Markets (DCMs) Date of Letter Date Filed DCM Description 09/30/2004 09/30/2004 CME Rule Number 855A. Offering E-Mini and Regular Futures Positions Technical Amendments to clarify original intent with respect to offsetting E-Mini and regular futures positions. 09/30/2004 09/30/2004 CBOT…
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Remarks of Enforcement Director Ian McGinley at the New York University School of Law Program on Corporate Compliance and Enforcement: “The Right Touch: Updated Guidance on Penalties, Monitors, and Admissions”
… imposing compliance Monitors and Consultants as part of our settlements. [8] And we are requiring admissions in our settlements. [9] This is not accidental.  They reflect … to achieve the right balance between incentivizing settlements and deterring misconduct.  In my view, the …
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2011-1154
... Federal Register, Volume 76 Issue 17 (Wednesday, January 26, 2011)[Federal Register Volume 76, Number 17 (Wednesday, January 26, 2011)] [Proposed Rules] [Pages 4752-4777] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2011-1154] [[Page 4751]] Vol. 76 Wednesday, No. 17 January 26, 2011…
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Statement of Commissioner Kristin N. Johnson in Support of Reporting and Information Requirements for Derivatives Clearing Organizations
...Today, the Commission considers several amendments to Part 39 regulations. In January of 2020, the Commission amended a number of the provisions in Part 39 to enhance certain risk management and reporting obligations and clarify the meaning of certain provisions including registration and reporting requirements.[1] Last November, the Commission considered a proposed rulemaking…
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