[31498] November 27, 2018 TO: Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee RE: CFTC Proposes to Amend SEF Rules and Seeks Comment on SEF Name Give-Up Practices The Commodity Futures Trading Commission (CFTC) recently proposed amendments to its rules...
[31497] November 26, 2018 TO: Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee RE: Recent ESMA Actions on Derivatives in Advance of Brexit The European Securities and Markets Authority (ESMA) recently took two actions designed to mitigate concerns that the...
[31492] November 20, 2018 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SUBJECTS: Compliance Derivatives International/Global Investment Advisers Trading and Markets RE: ICI Files...
[31488] November 19, 2018 TO: ICI Members ICI Global Members Equity Markets Advisory Committee SEC Rules Committee SUBJECTS: Trading and Markets RE: SEC Adopts Rules to Improve Transparency of Broker-Dealer Order Handling Practices The Securities and Exchange Commission (SEC or...
[31470] November 8, 2018 TO: Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: Draft Comment Letter to SEC on Proposals Regarding Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and...
[31469] November 6, 2018 TO: Derivatives Markets Advisory Committee RE: SEC Issues Statement on Security-Based Swap Business Conduct Standards The Securities and Exchange Commission (SEC or Commission) recently issued a statement regarding compliance with the Commission’s rules...
[31461] October 30, 2018 TO: Derivatives Markets Advisory Committee RE: Richard Gabbert, Counsel to SEC Commissioner Hester Peirce - Additional Speaker for the Derivatives Markets Advisory Committee Meeting on Thursday, November 8 An in-person meeting of the Derivatives Markets...
[31458] October 26, 2018 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee SUBJECTS: Derivatives International/Global Investment Advisers Trading and Markets RE: ICI and Other Trade Associations Request That SEC Re-Propose...
[31449] October 22, 2018 TO: Derivatives Markets Advisory Committee ICI Global Trading & Markets Committee RE: CFTC Chair Giancarlo Releases White Paper on Cross-Border Swaps Regulation Reform US Commodity Futures Trading Commission Chairman J. Christopher Giancarlo recently released...
[31443] October 17, 2018 TO: Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee RE: ICI Member Call October 22 on Reopening of SEC Comment Period on Proposals Regarding Capital, Margin, and Segregation Requirements for...
