Tag: Swaps
SEC, ECB Sign Agreement for Oversight of Security-Based Swap Dealers
In their first Memorandum of Understanding, the SEC and the European Central Bank have agreed to cooperate and exchange information related to security-based swap dealers and major security-based swap participants that are registered with the SEC and supervised by the ECB.
August 17, 2021
SEC Approves Registration of First Security-Based Swap Data Repository
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).
May 18, 2021
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 uncleared swaps transactions on behalf of their clients.
May 29, 2020
Tags: CFTC, CPO, Legal & Regulatory, Non-U.S. Pools, Swaps
CFTC Proposes Rule to Prohibit Post-Trade Name Give-Up on Swap Execution Facilities
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 cleared.
December 26, 2019
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