dodd-frank
FCA Fines Royal Bank Of Scotland £5.6 Million For Failing To Report Transactions
- Whilst regulatory authorities are busily engaged in defining the methods by which they intend to reform financial markets, one such aspect is trade and transaction reporting. The FCA demonstrates that this is also part of its remit by issuing RBS with a penalty.
Thursday, 25/07/2013 | 08:01 GMT by
Andrew Saks McLeod
Further US Regulators Delve Deep Into Activities Of Algorithmic Traders: FINRA Questions 10 HFT Firms
- As the first prosecution of an algorithmic trader for market abuse under the Dodd-Frank comes into being, FINRA demonstrates its will to investigate the world of algorithmic trading by issuing detailed questionnaires to HFT firms.
Tuesday, 23/07/2013 | 08:40 GMT by
Andrew Saks McLeod
CFTC Fines Algorithmic Trader $2.8 Million For Spoofing In The First Market Abuse Case Brought By Dodd-Frank Act, And Imposes Ban
- Today, the US Commodity Futures Trading Commission and Britain's FCA announced that they have brought a milestone case against an algorithmic trading entity for market abuse, representing the first Dodd-Frank Act application.
Monday, 22/07/2013 | 13:09 GMT by
Andrew Saks McLeod
Traiana's Pre-Trade Clearing Certainty Initiative Gains Support of Major Financial Institutions
- Traiana today announced that it has gained the support of major buy-side institutions for its central risk management infrastructure to manage swap clearing limits. Deployments set to meet regulatory deadlines.
Wednesday, 17/07/2013 | 09:17 GMT by
Andrew Saks McLeod
Open-Source Risk Management Platform Provider OpenGamma Releases Upgrade In Light of Dodd-Frank Regulations
- In keeping with the current upgrades of risk management solutions to meet the ever-evolving regulatory structures around the world, and in particular the Dodd-Frank Act, OpenGamma today releases v2.0.
Tuesday, 16/07/2013 | 15:16 GMT by
Andrew Saks McLeod
Keep Calm And Carry On Looking After Client Funds: Britain's FCA Draws Up Consultation Paper To Further Refine CASS Rulings
- As the regulatory environment tightens up and continually works toward protection of client funds whilst in the hands of OTC derivatives firms, Britain's Financial Conduct Authority issues proposed refinements.
Tuesday, 16/07/2013 | 10:05 GMT by
Andrew Saks McLeod
SEC Gets Its Act Together - Publishes Final Ruling On Retail FX
- Just one day after SEC Commissioner Luis Aguilar expressed his dismay at the length of time taken to produce final rulings on retail FX, the regulator today produced its full and concise ruling in final form.
Friday, 12/07/2013 | 16:51 GMT by
Andrew Saks McLeod
Get A Move On! Senior SEC Official Expresses Frustration At Dodd-Frank Delays In Retail Sector
- Whilst the CFTC has spent the first half of this year reasonably satisfied with its progress on working toward completion of rulings on the Dodd-Frank Act, one senior SEC official expresses dismay at what he sees as unnecessary delays.
Friday, 12/07/2013 | 08:19 GMT by
Andrew Saks McLeod
Ambiguity Reigns Supreme: CFTC Removes FX Asset Class From ICE Trade Vault Before Final Reporting Rulings Set
- Ahead of final rulings on trade reporting, US regulatory authority CFTC has approved an order to remove the foreign exchange asset class from the ICE Trade Vault after having granted registration last year.
Wednesday, 03/07/2013 | 08:06 GMT by
Andrew Saks McLeod
The Dodd-Frank Debate - Senior Industry Executives Debate Responsibilities On Trade Reporting During London Discussion Panel
- Senior FX and technology executives gathered on Thursday to debate the forthcoming challenges associated with introducing compliant trade reporting solutions in the advent of the Dodd-Frank Act.
Sunday, 30/06/2013 | 09:54 GMT by
Andrew Saks McLeod
NFA Signs Agreement with TeraExchange to Provide Regulatory Services to its Swap Execution Facility
- The NFA and TeraExchange have announced that they have signed an agreement where the NFA will provide regulatory services for TeraExchange’s SEF. The agreement finalizes TeraExchange’s evolvement from an EBOT to a SEF.
Tuesday, 18/06/2013 | 15:38 GMT by
Ron Finberg
Spot or Swap? CFTC Defines Rolling Spot Transactions As Swap In Retail FX
Monday, 10/06/2013 | 19:00 GMT by
Andrew Saks McLeod
Following FX Post-Trade Flow with Traiana
- Tracking trades and monitoring credit relationships is one of the bigger headaches that financial firms deal with. In part two of a larger article about FX settlement and post-trade flow we focus on the operations of Traiana.
Thursday, 16/05/2013 | 14:24 GMT by
Ron Finberg
TradingScreen Announces Meeting Dodd Frank FX Requirements
Monday, 29/04/2013 | 17:30 GMT by
Ron Finberg
Swap Dealers Required by CFTC to Submit Risk Exposure Reports
Monday, 25/03/2013 | 06:49 GMT by
Andrew Saks McLeod
CFTC Charges CME Group – CME Responds In Record Time
Thursday, 21/02/2013 | 21:55 GMT by
Ron Finberg
US SEC Chairman Elisse B Walker Submits Testimony on OTC Product Rulings to Senate Committee
Monday, 18/02/2013 | 08:33 GMT by
Andrew Saks McLeod
Dodd Frank Act Senate Meeting - US Regulators Report Significant Progress
Friday, 15/02/2013 | 07:54 GMT by
Andrew Saks McLeod
US Financial Regulators To Convene This Week – Investor Protection High on the Agenda
Monday, 11/02/2013 | 16:00 GMT by
Andrew Saks McLeod
HFT Technologies Launches IT Consulting Company, HFT Pros to Focus on Dodd-Frank 2013 Regulation
Wednesday, 23/01/2013 | 11:24 GMT by
Ron Finberg
US Department of Treasury Makes Final Determination on Foreign Exchange Swaps and Forwards
Saturday, 17/11/2012 | 01:17 GMT by
FMAdmin Someone
Avoxdata Launches New Regulatory File Service For Dodd-Frank Reporting
Monday, 12/11/2012 | 22:48 GMT by
FMAdmin Someone
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