[32783] September 25, 2020 TO: Derivatives Markets Advisory Committee RE: CFTC Issues Supplemental Proposal on Part 190 Bankruptcy Regulations - ICI Member Call October 9 On September 17th, the Commodity Futures Trading Commission (CFTC or “Commission”) unanimously approved a...
[32763] September 17, 2020 TO: Derivatives Markets Advisory Committee Investment Advisers Committee RE: CFTC Staff Issues Further Guidance and Relief Regarding Treatment of Separate Accounts by FCMs On September 15, 2020, The Division of Clearing and Risk (DCR) and the Division of...
The CFTC Divisions of Swap Dealer and Intermediary Oversight (DSIO), Market Oversight (DMO), and Clearing and Risk (DCR) recently revised and expanded previously-issued no-action letters that provide relief to swap dealers (SDs) and other market participants related to the transition...
[32736] September 2, 2020 TO: ICI Members SUBJECTS: Derivatives Disclosure Fund Accounting & Financial Reporting International/Global Portfolio Oversight RE: ICI Supplemental Comment Letter on SEC's Fund Names Rule As we previously informed you, the SEC published a release (“Release”)...
[32721] August 28, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Financial Stability International/Global RE: ICI Global Files Comment Letter on ESMA's Consultation Providing Guidelines for Regulating Alternative Investment Fund...
[32714] August 27, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Subcommittee SUBJECTS: Compliance Derivatives International/Global Investment Advisers...
[32697] August 21, 2020 TO: ICI Members SUBJECTS: Trading and Markets RE: SEC Rescinds Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modifies NMS Plan Procedures We are pleased to report that the SEC has adopted a final rule to rescind the “Effective-Upon-Filing”...
On August 14, the CFTC issued two proposals to amend certain margin requirements for non-cleared swaps for swap dealers (SDs) and major swap participants (MSPs) (collectively, “covered swap entities” or CSEs). The CFTC Global Markets Advisory Committee’s Subcommittee on Margin...
[32684] August 17, 2020 TO: ICI Global Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives Financial Stability International/Global RE: ICI Global Draft Comment Letter on ESMA's Consultation Providing Guidelines for Regulating Alternative Investment Fund Leverage...
[32682] August 17, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Derivatives RE: CFTC Adopts Final Rule on Cross-Border Application of Swap Dealer and Major Swap Participant Requirements On July 23, the Commodity Futures Trading Commission (CFTC) adopted a...
