In their first Memorandum of Understanding (MOU), the SEC and the European Central Bank (ECB) have agreed to cooperate and exchange information related to the supervision, enforcement, oversight, and cross-border...
The SEC recently announced that it approved the registration of its first security-based swap data repository (SDR), the DTCC Data Repository (U.S.), LLC (DDR). According to the SEC announcement, DDR...
In a move long advocated by the IAA, the CFTC has voted unanimously on two actions affecting SEC-registered investment advisers and their affiliates operating non-U.S. commodity pools and/or engaging in...
The CFTC has unanimously approved a proposal to prohibit “post-trade name give-up” practices for swaps that are anonymously executed on a Swap Execution Facility (SEF) and are intended to be...
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