Jun 20, 2024 Redefining Limits: The CFTC's Updated Block and Cap Sizes for 2024 By Carl Kennedy Nicholas Gervasi The Division of Data (DOD) of the Commodity Futures Trading Commission (CFTC or the Commission) published updated post-initial...
Feb 26, 2024 Ensuring Everything Is Above Board: CFTC Proposes Simplified Rules for SEF and DCM Governance, Independence and Mitigating Conflicts of Interest By Nicholas Gervasi Carl Kennedy Seeking to ensure that designated contract markets (DCMs) and swap execution facilities (SEFs) adequately incorporate an independent...
Dec 21, 2023 FCA Publishes Update on UK Market Share Test for Ancillary Activities Exemption 2024-2025 By Carolyn Jackson Ciara McBrien On 20 December 2023, the Financial Conduct Authority (FCA) published a statement (Statement) providing an update on the ancillary...
Dec 21, 2023 FCA Consults on UK Commodity Derivatives Regulatory Framework Reform By Carolyn Jackson Ciara McBrien On 4 December 2023, the Financial Conduct Authority (FCA) published a consultation paper (CP23/27) on reforming the UK commodity...
Dec 21, 2023 UK Regulators Publish Policy Statement on Margin Requirements for Non-Centrally Cleared Derivatives By Carolyn Jackson Ciara McBrien On 18 December 2023, the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) (together, the Regulators) published...
Dec 07, 2023 A Breath of Fresh Air: CFTC Proposes Voluntary Carbon Credit Market Guidance By Carl Kennedy After two years of examining carbon markets, the Commodity Futures Trading Commission (CFTC) proposed measures focused on improving...
Nov 07, 2023 SEC Division of Examinations Publishes 2024 Priorities: Spotlight on Investment Advisers and Broker-Dealers By Adam Bolter On October 16, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities...
Jul 26, 2023 Recent DC Circuit Court of Appeals Case Brings FINRA to the Forefront of the SRO State Actor Controversy By Susan Light Peter Wilson Richard Marshall Carl Kennedy Dan Davis James Brady +3 more... Show less A recent DC Circuit Court of Appeals challenge to a FINRA enforcement action brings into question whether FINRA should be held...
Apr 25, 2023 ESG investment is here to stay By Chris Cole I wrote an article last month chronicling the rightwing-led backlash to ESG. Pouring corporate resources into ESG, the theory goes,...
Jul 22, 2022 The Joint Audit Committee in the Post-Archegos Risk Management Landscape By Stephen Morris Among US financial regulators, the Joint Audit Committee speaks softly; but, for futures commission merchants that are clearing members...