Recent Regulatory-Related Releases
Dec 11, 2024 - Liquidity Preparedness for Margin and Collateral Calls
Nov 18, 2024 - Big Banks Still Need To Beef Up Controls, Fed Report Says
Sep 19, 2024 - ISDA Reforms Credit Determination Committee and Adds Oversight and participation of smaller CDS participants
Aug 7, 2024 - Cboe Global Markets plans to launch options on VIX futures, expected to begin trading on October 14, 2024
July 3, 2024 - ISDA Publishes Framework to Prepare for Close Out of Derivatives Contracts
Apr 22, 2024 - FSB report urges nonbanks to boost liquidity preparation
Mar 25, 2024 - NAPFM, AIMA and MFA file lawsuit against US SEC to vacate Dealer Rule
Feb 13, 2024 - Hedge Funds Trading Treasuries to Be Tagged Dealers by SEC
Jan 17, 2024 - ISDA and SIFMA Response to US Basel III NPR
Dec 21, 2023 - Global regulators unveil revised rules to prevent liquidity mismatches in open-ended funds
Dec 14, 2023 - SEC Tackles Treasury Market Risk With New Clearing Mandate
Nov 29, 2023 - SEC Announces Enforcement Results for Fiscal Year 2023
Oct 18, 2023 - CFTC to seek guilt admissions, require monitors in enforcement crackdown
Oct 10, 2023 - BIS: Liquidity, risk management drove March bank crisis
Oct 3, 2023 - Private Funds Industry Sues SEC over New Private Fund Adviser Rule
Sep 27, 2023 - FSB proposes a toolbox of financial resources and tools for the resolution of central counterparties (CCPs)
Sep 11, 2023 - UK watchdog to 'ramp up' checks on how banks assess risks
Sep 7, 2023 - FASB Adopts Crypto Accounting and Disclosure Rule for Companies
Aug 30, 2023 - FDIC Proposes Tougher Rules for Regional Banks
Aug 17, 2023 - Calling for transparency: Credit Default Swaps Under Scrutiny After March Banking Crisis
Jul 26, 2023 - Bank Groups Slam Fed's Stress Test 'Secrecy' As Unlawful
Jul 13, 2023 - Treasury Basis Trades That Blew Up Attracts BOE Concern
Jul 7, 2023 - FCA review finds asset managers lack liquidity controls
Jun 27, 2023 - UK lawmakers urge pensions regulation overhaul after mini-budget chaos
Jun 22, 2023 - CFTC Whistleblower Office Issues Alert Seeking Tips Relating to Carbon Markets Misconduct
Jun 20, 2023 - Hedge Funds to Face First Ever Stress Tests Under BOE Exercise
Jun 6, 2023 - SEC Rocks Crypto World, Sues Coinbase and Binance for Operating Unregistered Exchanges
May 25, 2023 - BIS and IOSCO Report on CCP Margin Requirements During Market Volatility
May 8, 2023 - SEC Brings First-Ever 'Liquidity Rule' Suit Against Adviser
May 4, 2023 - Big Hedge Funds Face New 72-Hour Deadline to Report Losses
Apr 28, 2023 - Fed Slams Its Own Oversight of Silicon Valley Bank in Post-Mortem
Apr 25, 2023 - FCA updates standards after LDI crisis
Apr 24, 2023 - U.S. financial regulators to tighten rules on non-banks, systemic risks
Apr 17, 2023 - ECB Told Not to Take Banks' Word for It When Assessing Risk
Mar 30, 2023 - BoE: Pension funds need more liquidity
Mar 29, 2023 - US bank regulators outline potential rules overhaul
Mar 28, 2023 - CFTC Sues Binance for Offering Unregistered Derivatives Products, Hiding U.S. Crypto Trading Activity
Mar 22, 2023 - ECB Widens Its Sweep of Banks’ Credit Suisse Risk on AT1 Fallout
Feb 9, 2023 - New York Department of Financial Services Issues Virtual Currency Custody Guidance
Feb 1, 2023 - EU launches latest stress tests amid economic headwinds
Dec 21, 2022 - PRA/FCA publish policy statement on margin requirements for non-centrally cleared derivatives
Dec 09, 2022 - After FTX, SEC Advises Cos. To Disclose Crypto Risks
Dec 02, 2022 - CFTC Warns Overseas Swap Dealers To Heed Reporting Rules
Nov 17, 2022 - NY Regulator Plugs Tougher Crypto Approach Amid FTX Bust
Nov 16, 2022 - SEC Announces Enforcement Results for FY22
Nov 15, 2022 - FCA Offers UK Investors In FTX Little Hope For Recovery
Nov 14, 2022 - EU actions on high energy prices and security of supply
Nov 10, 2022 - SEC Seeks Special Master to Oversee Return of Remaining Funds to Harmed Investors of the Infinity Q Mutual Fund
Oct 10, 2022 - UK Parliament: Impact on defined benefit pension schemes of movements in financial markets
Oct 3, 2022 - Financial Stability Oversight Council Releases Report on Digital Asset Financial Stability Risks and Regulation
Sep 29, 2022 - Barclays Agrees to a $361 Million Settlement to Resolve SEC Charges Relating to Over-Issuances of Securities
Sep 20, 2022 - Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions
Sep 8, 2022 - CFTC Fines Natixis $2.8M Over Lax Swaps Desk Supervision
Sep 6, 2022 - CMRA Institutional Investor clients successfully settle the last leg of their Allianz Structured Alpha litigation
Aug 9, 2022 - FCA Reinforces Importance of “Say What You Do And Do What You Say”
Aug 9, 2022 - Clearing Agencies Face New SEC Conflicts-of-Interest Regulations
Aug 1, 2022 - ISDA Publishes China Netting Opinion as FDL Comes into Effect
Aug 1, 2022 - China ‘Gamechanger’ Derivatives Law Is Latest Bid to Open Market
July 28, 2022 - Market Manipulation- 7th Circ. Won't Revive Cboe Investors' VIX Manipulation Suit
July 26, 2022 - Coinbase Faces SEC Probe on Crypto Listings; Shares Tumble
July 25, 2022 - Russian Bond Default and CDS Credit Event
July 25, 2022 - US Treasury issues waiver for CDS payouts on Russian debt
July 25, 2022 - PRA writes to chief risk officers regarding use of SIMM model
July 11, 2022 - ARRC Publishes LIBOR Legacy Playbook
July 11, 2022 - Reuters: ECB climate stress test flags $71 billion risk to euro zone banks
July 8, 2022 - Reuters: U.S. Treasury calls for inter-agency approach on digital asset risks, benefits
July 5, 2022 - CFTC Commissioner Calls $6M BNP Deal 'Missed Opportunity'
July 4, 2022 - BOE's PRA issues hedge fund margin call model warning
June 17, 2022 - Reuters: LME Launches Reporting of OTC Positions After Nickel Chaos
June 9, 2022 - ISDA Margin Survey Year-End 2021
May 19, 2022 - Ukraine Market Implications
May 11, 2022 - Reuters: Wall Street watchdog to ramp up scrutiny of risky derivative products
May 2, 2022 - SEC: In re INFINITY Q DIVERSIFIED ALPHA FUND SECURITIES LITIGATION
April 6, 2022 - 2022 SEC Examination Priorities for Private Fund Advisers | Paul, Weiss
February 17, 2022 - Infinity Q SEC’s complaint against James Velissaris
February 10, 2022 - FINRA Portfolio Margin and Intraday Trading
December 10, 2021 - Bank of England: Supervisory review of global equity finance businesses
December 2, 2021 - The European Commission: Barclays, RBS, HSBC, Credit Suisse and UBS fined for taking part in forex trading cartel
November 8, 2021 - OCC: Five Climate Questions Every Bank Board Should Ask
July 29, 2021 - Credit Suisse Group AG: Independent External Investigation into Archegos Capital Management.
July 28, 2021 - The Group of Thirty: U.S. Treasury Markets: Steps Toward Increased Liquidity
May 18, 2021 - OCC: Archegos Blowup Signals Bank Complacency, Top Regulator Says
December 3, 2020 - SEC: SEC Modernizes Framework for Fund Valuation Practices
October 28, 2020 - SEC: SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies
May 20, 2020 - Standard Board for Alternative Investments (SBAI): SBAI published a fund structuring memo focusing on key considerations for the two most common fund models employed by alternative credit managers.
May 20, 2020 - SBAI: A valuation memo highlighting the key features of a robust valuation framework and illustrating the fair value process for direct loans.
May 20, 2020 - SBAI: A conflicts of interest memo identifying conflicts of interest that can arise in alternative credit funds.
April 21, 2020 - SEC: SEC proposed a new rule modernizing framework for fund valuation practices.
February 20, 2020 - SEC and CFTC Impose Stiff Penalties on Adviser for Failing to Follow Disclosed Risk Management Policies
February 8, 2019 - OCC, FRS Board of Governors, FDIC: A joint notice of proposed rulemaking was issued, proposing a simplified measure of sufficient capital for qualified community banks.
November 29, 2018 - Federal Reserve Board: A Notice of Proposed Rulemaking concerning the reorganization of the current prudential standards regulatory framework has been published for public comment.
November 13, 2018 - CFTC: The CFTC published a Final Rule setting a de minimis exception threshold of $8 billion in aggregate gross notional amount for swap dealer registration.
August 27, 2018 - CFPB: The CFPB published a final rule amending regulations and official interpretations under TILA (Regulation Z).
August 23, 2018 - CFTC: CFTC approves a proposal amending clearing requirements in effort to help end-users.
August 6, 2018 - Federal Reserve System: A final rule establishing a single-counterparty credit limit for globally systematically important bank holding companies (Regulation YY) has been published.
July 5, 2018 - BIS: Basel Committee issues revised G-SIB framework