Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition)
Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition)

Author: The Law The Law Library

Publisher: Createspace Independent Publishing Platform

Published: 2018-06-16

Total Pages: 192

ISBN-13: 9781721510160

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Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 On July 12, 2012, the Commodity Futures Trading Commission ("Commission" or "CFTC") published for public comment its proposed interpretive guidance and policy statement ("Proposed Guidance") regarding the cross-border application of the swaps provisions of the Commodity Exchange Act ("CEA"), as added by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act" or "Dodd-Frank"). On December 21, 2012, the Commission also proposed further guidance on certain aspects of the Proposed Guidance ("Further Proposed Guidance"). This book contains: - The complete text of the Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section

The Great Financial Plumbing
The Great Financial Plumbing

Author: Karel Lannoo

Publisher: Rowman & Littlefield

Published: 2015-09-30

Total Pages: 201

ISBN-13: 1783484292

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The financial crisis has led to a far-reaching redesign of the European regulatory and supervisory framework. Following the commitments made in the context of the G-20, but also reacting to internal shortcomings, the EU engaged in a massive program to re-regulate financial markets. The EU furthermore redesigned the structure for supervisory cooperation, initially through the European Supervisory Authorities, and later in its ambition to form the Banking Union. In The Great Financial Plumbing, Karel Lannoo systematically assesses the new regulatory and supervisory framework. The book’s structure follows the big questions on the agenda: 1) What is Banking Union? 2) How have the concerns of the G-20 been addressed by the EU (oversight of credit-rating agencies, better capital for banks, the re-regulation of securities and derivatives markets, asset management, depositor protection and bank resolution)? 3) How were uniquely EU rules on state aid applied to the banking sector? This book is designed to give professionals, policy-makers and students a better understanding of the new regulatory framework and insights into the policy context that has led to the new rules governing financial markets in Europe.

Systemically Important Or Too Big to Fail Financial Institutions
Systemically Important Or Too Big to Fail Financial Institutions

Author: Marc LaBonte

Publisher: CreateSpace

Published: 2015-06-26

Total Pages: 64

ISBN-13: 9781508686989

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Although "too big to fail" (TBTF) has been a perennial policy issue, it was highlighted by the near-collapse of several large financial firms in 2008. Financial firms are said to be TBTF when policy makers judge that their failure would cause unacceptable disruptions to the overall financial system, and they can be TBTF because of their size or interconnectedness. In addition to fairness issues, economic theory suggests that expectations that a firm will not be allowed to fail create moral hazard-if the creditors and counterparties of a TBTF firm believe that the government will protect them from losses, they have less incentive to monitor the firm's riskiness because they are shielded from the negative consequences of those risks. If so, they could have a funding advantage compared with other banks, which some call an implicit subsidy. S.Con.Res. 8, passed by the Senate on March 22, 2013, and H.Con.Res. 25, as amended and passed by the Senate on October 16, 2013, create a non-binding budget reserve fund that allows for future legislation to address the TBTF funding advantage.

Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules, Etc. (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition)
Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules, Etc. (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition)

Author: The Law The Law Library

Publisher: Createspace Independent Publishing Platform

Published: 2018-06-18

Total Pages: 194

ISBN-13: 9781721625505

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Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules, etc. (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules, etc. (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to implement certain provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These regulations set forth reporting and recordkeeping requirements and daily trading records requirements for swap dealers (SDs) and major swap participants (MSPs). These regulations also set forth certain duties imposed upon SDs and MSPs registered with the Commission with regard to: Risk management procedures; monitoring of trading to prevent violations of applicable position limits; diligent supervision; business continuity and disaster recovery; disclosure and the ability of regulators to obtain general information; and antitrust considerations. In addition, these regulations establish conflicts-of-interest requirements for SDs, MSPs, futures commission merchants (FCMs), and introducing brokers (IBs) with regard to firewalls between research and trading and between clearing and trading. Finally, these regulations also require each FCM, SD, and MSP to designate a chief compliance officer, prescribe qualifications and duties of the chief compliance officer, and require that the chief compliance officer prepare, certify, and furnish to the Commission an annual report containing an assessment of the registrant's compliance activities. This book contains: - The complete text of the Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules, etc. (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section

Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition)
Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps (Us Commodity Futures Trading Commission Regulation) (Cftc) (2018 Edition)

Author: The Law The Law Library

Publisher: Createspace Independent Publishing Platform

Published: 2018-06-18

Total Pages: 114

ISBN-13: 9781721623648

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Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commodity Futures Trading Commission ("Commission" or "CFTC") is adopting final regulations relating to swap data reporting in connection with cleared swaps for swap data repositories ("SDRs"), derivatives clearing organizations ("DCOs"), designated contract markets ("DCMs"), swap execution facilities ("SEFs"), swap dealers ("SDs"), major swap participants ("MSPs"), and swap counterparties who are neither SDs nor MSPs. Commodity Exchange Act ("CEA" or "Act") provisions relating to swap data recordkeeping and reporting were added by the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). These regulations adopt without change revisions to the Commission regulations as proposed in the Notice of Proposed Rulemaking ("NPRM") issued August 31, 2015. These revisions clarify regulations to clearly delineate the swap data reporting requirements associated with each of the swaps involved in a cleared swap transaction. Additionally, these revisions leave the choice of SDR for each swap in a cleared swap transaction to the entity submitting the first report on such swap. This book contains: - The complete text of the Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section

Commodity Exchange Act
Commodity Exchange Act

Author: S Wolters Kluwer Legal & Regulatory U

Publisher: Aspen Publishers

Published: 2020-12-17

Total Pages: 2376

ISBN-13: 9781543821222

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Commodity Exchange Act: Regulations & Forms, 2020 Special Edition The 2020 Special Edition of Commodity Exchange Act: Regulations & Forms provides a convenient way for you to keep up-to-date with legal and regulatory changes for commodities and derivatives. With this comprehensive resource, you can be assured that you and/or your clients are fully compliant with all the new requirements. The book contains the full text of the Commodity Exchange Act and all amendments through November 11, 2020. It also reproduces the rules, regulations and forms of the Commodity Futures Trading Commission. Source material is compiled from the Commodity Futures Law Reporter. The 2020 Special Edition is a comprehensive, yet portable desk reference for lawyers, compliance officers, regulators and others in the commodity futures and derivatives markets. This Special Edition includes new regulations and amendments since the April, 2020 edition including: Capital requirements for swap dealers and major swap participants Margin requirements for uncleared Swap dealers and swap dealers and major swap participants Volcker Rule (restrictions on proprietary trading and relations to hedge funds and private equity funds)