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Regulation & Documentation rss


  • E.U. Regulators Set For Upped Naked CDS Powers 09/01/2010 07:56 PM GMT  

    European regulatory authorities will be given powers to summon firms or financial services individuals to provide explanations and supporting documents setting out the purpose and the underlying risks to their credit default swap trading activities, according to a European Commission draft bill for naked short selling obtained by Derivatives Week.

  • UBS Gains Ground In Taiwan Retail Notes 09/01/2010 09:14 AM GMT  

    UBS will close on its first two non-professional structured product deals in Taiwan in the next few weeks.

  • Industry Opposes Systemic Internalizers For Derivatives 08/31/2010 04:53 PM GMT  

    Derivative users and industry groups in Europe have voiced their opposition for the so-called systemic internalizer regime to be adapted and applied to the trading of over-the-counter derivatives.

  • SEC Mutual Fund Derivatives Plan To Debut Shortly 08/27/2010 06:46 PM GMT  

    Before Andrew Donohue leaves as the country’s top mutual fund regulator in November, the Securities and Exchange Commission will put out for public comment how it wants to better align the regulation of derivatives with the complex ways the mutual fund industry is using them today.

  • FASB Chief Exit Queries Derivative Proposal 08/26/2010 09:35 PM GMT  

    The planned retirement of Financial Accounting Standards Board Chairman Robert Herz has thrown proposed changes to derivatives accounting into question, as the exposure draft only passed the board by a 3-2 vote, with Herz in favor.

  • Taiwan Private Bank Sales Pick Up 08/25/2010 09:32 AM GMT  

    Structured products sales in Taiwan, through private banking channels, are picking up well from a practical standstill in the second half of 2009, market observers are saying.

  • Trade Groups Spurn Single OTC Reporting Plan 08/23/2010 03:23 PM GMT  

    A coalition of industry groups, including the Association for Financial Markets in Europe and the International Swaps and Derivatives Association, has expressed concerns about a single reporting regime for both transaction and position reporting on over-the-counter derivatives based on reporting through trade repositories.

  • Industry Group Preps Longevity Index 08/23/2010 08:58 AM GMT  

    The Life & Longevity Markets Association will release today a framework for a longevity index, which will be the basis for a tradable index the organization intends to create.

  • Users Call For Open Clearing Access 08/20/2010 09:17 PM GMT  

    Jason Kastner, vice chairman of the Swaps and Derivatives Markets Association, spent most of today’s market roundtable in Washington, D.C., playing devil’s advocate, arguing against other market participants for open access to clearing, ownership limits on clearinghouses and a separation of clearing and execution.

  • SEC Examining Fund Alt Investments 08/20/2010 06:53 PM GMT  

    The U.S. Securities and Exchange Commission is investigating how registered funds make alternative investment decisions.

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