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  • CFTC: Frequently Asked Questions Regarding The Post-Trade Name Give-Up Rule In Commission Regulation 37.9(D)

    Date 04/11/2020

    On June 25, 2020, the CFTC approved a new rule under § 37.9(d) of its regulations (PTNGU rule). The new rule prohibits a SEF from directly or indirectly disclosing the identity of a counterparty to a swap that is (i) intended to be cleared, and (ii) executed, pre-arranged, or pre-negotiated anonymously on, or pursuant to the rules of, a SEF (PTNGU prohibition).[1] The PTNGU prohibition does not apply to swaps that are not intended to be executed anonymously, such as trades done via a name-disclosed request for quote.[2] The PTNGU rule also requires a SEF to establish and enforce rules that prohibit any person from effectuating such a disclosure.[3] The PTNGU rule provides an exception to the prohibition on post-trade name give-up for package transactions that include a component transaction that is not a swap intended to be cleared.[4] The Commission adopted the PTNGU rule with a phased compliance schedule. For swaps that are “made available to trade” and therefore subject to the trade execution requirement under Commodity Exchange Act (“CEA”) section 2(h)(8)[5] (MAT swaps), SEFs must comply with § 37.9(d) no later than November 1, 2020. For swaps not subject to the trade execution requirement under CEA section 2(h)(8), SEFs must comply with § 37.9(d) no later than July 5, 2021.

  • EBA Encourages Financial Institutions To Put The Required Focus On Consumers’ Interests When Applying Product Oversight And Governance Arrangements

    Date 04/11/2020

    • The Report identifies a range of good practices and encourages financial institutions to  use them;
    • Many financial institutions do not sufficiently put the required focus on ensuring that consumers’ needs are met in line with the Guidelines;
    • The EBA and relevant competent authorities will continue monitoring how financial institutions apply the EBA POG Guidelines and whether they make use of the good practices identified in this Report.


  • TMX Group Consolidated Trading Statistics – October 2020

    Date 04/11/2020

    TMX Group Limited today announced October 2020 trading statistics for its marketplaces – Toronto Stock Exchange, TSX Venture Exchange, TSX Alpha Exchange and Montréal Exchange.



  • ESAs’ Board Of Appeal Dismisses Case Against EIOPA On Alleged Non-Application Of Union Law As Manifestly Inadmissible

    Date 04/11/2020

    The Joint Board of Appeal of the European Supervisory Authorities (ESAs – European Banking Authority, European Insurance and Occupational Pensions Authority, and European Securities and Markets Authority) published today its decision in relation to an alleged non-application of Union law by six national competent authorities brought by Mr. Howerton against the European Insurance and Occupational Pensions Authority (EIOPA). In its decision, the Board of Appeal dismisses the Appellant’s claim as inadmissible as the facts described do not seem to involve insurances and occupational pension funds or any other subject-matter within the remit of EIOPA nor of the Board of Appeal.



  • CFTC Designates KalshiEX LLC As A Contract Market

    Date 04/11/2020

    The Commodity Futures Trading Commission today announced that it has issued an Order of Designation to KalshiEX LLC, granting it status as a designated contract market (DCM). KalshiEX is a limited liability company located in San Francisco, CA and is formed under Delaware state law. 

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