All Cross-Border Derivatives articles
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ArticleMiFID II is on the way and U.S. firms should pay close attention
As the slate of EU financial regulations known as MiFID II goes into effect in January, U.S. firms may be rudely awakened by new transparency demands, real-time reporting requirements, and “research unbundling” rules.
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ArticleAs SEC broadens international enforcement focus, compliance efforts must adapt
Under Mary Jo White, the SEC greatly expanded its focus on cross-border enforcement, adding risk and compliance challenges for companies wherever they are based. Joe Mont reports.
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Blog
CFTC approves substituted compliance framework with EU
The Commodity Futures Trading Commission has approved a substituted compliance framework for dually-registered central counterparties, located in both the United States and European Union. European CCPs registered with the CFTC can now comply with its rules by meeting corresponding European Market Infrastructure Regulation requirements.
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Article
SEC, CFTC ‘milestones’ resolve issues with cross-border swaps deals
Consider it regulatory kismet. Independently, on Feb. 10, the SEC and Commodity Futures Trading Commission finalized long-lingering rules and agreements needed to resolve concerns with the international marketplace for derivatives deals. The SEC’s new rules cover foreign swaps dealers who maintain trading desks in the United States, closing a perceived ...
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Blog
SEC Revisits Cross-Border Swap Rules
The Securities and Exchange Commission is seeking to better define the requirements for security-based swap transactions that involve a foreign entity’s activity in the United States. A new proposed rule addresses what to do when only certain activities involving a security-based swap transaction occur within the United States. More inside.