Global Trading and Markets Committee Content

[32753] September 11, 2020 TO: Global Advocacy Coordination Advisory Committee Global Operations Advisory Committee Global Operations Advisory Committee - Asia ICI Global Investing Subcommittee ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia ICI Global...

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”)...

[32717] August 28, 2020 TO: Global Operations Advisory Committee Global Operations Advisory Committee - Asia ICI Global Regulated Funds Committee ICI Global Regulated Funds Committee - Asia ICI Global Trading & Markets Committee Operations Committee Securities Operations Advisory...

[32719] August 28, 2020 TO: Global Advocacy Coordination Advisory Committee Global Operations Advisory Committee Global Operations Advisory Committee - Asia ICI Global Investing Subcommittee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee SEC Rules...

[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...