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  • Remarks Of CFTC Commissioner Rostin Behnam At The 2018 ISDA Annual Japan Conference, Shangri-La Hotel, Tokyo, Our Collective Strength

    Date 26/10/2018

    Introduction

    Thank you for the kind introduction; it is a great pleasure and honor to join you today.  I want to thank Scott O’Malia and the International Swaps and Derivatives Association (“ISDA”) for organizing this event and for bringing us together.  Before I begin, please allow me to remind you that the views I express today are my own and do not represent the views of the Commodity Futures Trading Commission (the “CFTC” or “Commission”) or my fellow Commissioners. 

    As you will see, that reminder appears in the text of these remarks.  I haven’t always remembered to include such language in the text, and I often assume that it is understood that although I am part of the Commission, I am not the Commission.  The Commission comprises five commissioners, who are appointed by the President and approved by the Senate, who serve five-year staggered terms.  No more than three of the five commissioners may be members of the same political party. The President appoints one of the commissioners as Chairman, and it is the Chairman who oversees the administrative functions of the Commission, such as supervising Commission personnel and directing their work agenda.

  • Amphora Announces Certified Native Integration With CubeLogic - Enables Symphony CTRM Users To Seamlessly Leverage The Market Leading KYC Onboarding, Business Process Management And Credit Risk Management Capabilities Of The RiskCubed Platform

    Date 25/10/2018

    Amphora, a leading vendor of multi‑commodity trading and risk management solutions to streamline operations, reduce transaction costs and manage financial and physical transactions and CubeLogic, a leader in business intelligence (BI) enabled risk management, workflow and reporting solutions, announce a certified native integration between Amphora’s Symphony CTRM and the CubeLogic RiskCubed platform.

  • Keynote Address - ICI Securities Law Developments Conference, Dalia Blass, Director, SEC Division Of Investment Management, Washington D.C., Oct. 25, 2018

    Date 25/10/2018

    Introduction 

    Good morning. Thank you Susan [Olson], and thank you, all, for the opportunity to join you today.

    Since I spoke with you last year, the Division has been busy on many fronts. This morning, I am going to focus on three of these: first, fund disclosure; second, fund use of derivatives; and third, staff guidance, which I know is on many of your minds. You also will hear from my colleagues about many other projects later today. Paul Cellupica, our Deputy Director and Chief Counsel, will join the Regulatory Developments panel this morning. Then Melissa Gainor, Sara Cortes and Michael Kosoff will participate in the discussions of ETFs, standards of conduct and fund disclosure.

  • Good Cop/Bad Cop - Speech By Sam Woods, Deputy Governor For Prudential Regulation And Chief Executive Officer Of The UK Prudential Regulation Authority, Given At Mansion House City Banquet, London

    Date 25/10/2018

    At the Mansion House City Banquet, Sam Woods, the Deputy Governor for Prudential Regulation and the Chief Executive of the Prudential Regulation Authority (PRA), describes the two different roles the regulator often finds itself playing, good cop and bad cop.

  • Statement at The Roundtable On Market Data And Market Access, SEC Commissioner Elad L. Roisman, Oct. 25, 2018

    Date 25/10/2018

    Thank you, Brett and the Division of Trading and Markets staff, for organizing this roundtable. Further thanks go to the panelists for contributing your time and energy in preparing for and attending this event. Looking at the agenda and at those seated around the room, it is clear that we have very knowledgeable participants who will not hesitate to engage in robust discussions over the next two days.Thank you, Brett and the Division of Trading and Markets staff, for organizing this roundtable. Further thanks go to the panelists for contributing your time and energy in preparing for and attending this event. Looking at the agenda and at those seated around the room, it is clear that we have very knowledgeable participants who will not hesitate to engage in robust discussions over the next two days.Thank you, Brett and the Division of Trading and Markets staff, for organizing this roundtable. Further thanks go to the panelists for contributing your time and energy in preparing for and attending this event. Looking at the agenda and at those seated around the room, it is clear that we have very knowledgeable participants who will not hesitate to engage in robust discussions over the next two days.Thank you, Brett and the Division of Trading and Markets staff, for organizing this roundtable. Further thanks go to the panelists for contributing your time and energy in preparing for and attending this event. Looking at the agenda and at those seated around the room, it is clear that we have very knowledgeable participants who will not hesitate to engage in robust discussions over the next two days.Thank you, Brett and the Division of Trading and Markets staff, for organizing this roundtable. Further thanks go to the panelists for contributing your time and energy in preparing for and attending this event. Looking at the agenda and at those seated around the room, it is clear that we have very knowledgeable participants who will not hesitate to engage in robust discussions over the next two days.