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Date 01/10/2013
CFTC’s Division Of Swap Dealer And Intermediary Oversight Issues Time-Limited No-Action Relief Regarding The Treatment Of Swap Transactions By Persons Engaging In Floor Trader Activities, For Purposes Of Making Calculations Under The Swap Dealer Definition
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a time-limited no-action letter that provides relief for persons engaging in floor trader activities.
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Date 01/10/2013
CFTC Announces Departure Of Enforcement Director David Meister
The Commodity Futures Trading Commission today announced that Division of Enforcement Director David Meister will depart the agency in October. Mr. Meister led the Division in bringing record numbers of enforcement actions covering the full range of the CFTC’s authority, including the first-ever charges under the Dodd-Frank Wall Street Reform and Consumer Protection Act. Mr. Meister, a close counselor to the Chairman on enforcement matters and other significant issues, also led key Dodd-Frank enforcement rulemakings, such as the prohibition against a wide range of manipulative and deceptive conduct, the whistleblower rule, and the Commission’s disruptive practices guidance.
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Date 30/09/2013
ISDA/IIF/GFMA Response To The BCBS 253 CD: Capital Treatment Of Bank Exposures To CCPs
This letter contains the response of the International Swaps and Derivatives Association (“ISDA”), the Institute of International Finance (“IIF”), and the Global Financial Markets Association (“GFMA”) (together, the “Associations”) to the BCBS consultative document, Capital treatment of bank exposures to central counterparties issued for comment on 28 June 2013 (“BCBS253”).
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Date 30/09/2013
CFTC’s Division Of Market Oversight Provides Time-Limited No-Action Relief For Swap Execution Facilities And Designated Contract Markets From The One Business Day Product Review Period Requirement Of Commission Regulation 40.2(A)(2) For Newly-Listed Swap Products
The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO or Division) today announced the issuance of a time-limited no-action letter providing relief for swap execution facilities (SEFs) and Designated Contract Markets (DCMs) from the one business day product review period requirement of Commission regulation 40.2(a)(2) for newly-listed swap products.
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Date 30/09/2013
SEC: Public Feedback On OFR Study On Asset Management Issues
Today, a webpage was opened on the SEC’s website for the public to provide feedback on a study entitled “Asset Management and Financial Stability” published by the Office of Financial Research of the Treasury Department.http://www.treasury.gov/initiatives/ofr/research/Pages/AssetManagementFinancialStability.aspx
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Date 30/09/2013
CFTC Charges Lions Wealth Holdings, Inc., Lions Wealth Services, Inc., 20/20 Precious Metals, Inc. And Bharat Adatia In Multi-Million Dollar Fraudulent Precious Metals Scheme - CFTC Alleges That Defendants, Who Took In More Than $2.4 Million During The Past Two Years, Defrauded Customers In Connection With Precious Metals Transactions And Engaged In Illegal Off-Exchange Commodity Transactions
The U.S. Commodity Futures Trading Commission (CFTC) today filed an injunctive enforcement action in the U.S. District Court for the District of Nevada against three Nevada corporations:Lions Wealth Holdings, Inc. and Lions Wealth Services, Inc., both doing business as Lions Wealth Capital (collectively Lions Wealth), and 20/20 Precious Metals, Inc. (20/20 Metals), and their principal Bharat Adatia of San Juan Capistrano, California. The CFTC Complaint charges that the three companies and Adatia took in more than $2.4 million in customer funds between July 2011 and February 2013, while fraudulently marketing illegal, off-exchange trading of precious metals on a leveraged, margined or financed basis.
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Date 30/09/2013
SEC: Slide Presentation (PDF): Update From The Division Of Corporation Finance And The Office Of The Chief Accountant, 2013 AICPA National Conference On Banks & Savings Institutions
Stephanie J. Ciboroski, Senior Assistant Chief Accountant; Matthew Schell, Professional Accounting Fellow; and Mark Shannon, Associate Chief Accountant
Sept. 18, 2013
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Date 30/09/2013
CFTC Issues Order Relating To The Continuation, Shutdown And Resumption Of Certain Commission Operations In The Event Of A Lapse In Appropriations
The U.S. Commodity Futures Trading Commission (CFTC) today issued a final order to provide for the continuation, shutdown and resumption of certain operations of the CFTC and to alert all persons regulated by or engaged in proceedings at the CFTC of these provisions in the event of a lapse in appropriations.
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Date 30/09/2013
SEC: Financial Reporting And Accounting Fraud, Andrew Ceresney, Co-Director Of The Division Of Enforcement, American Law Institute Continuing Legal Education, Washington, D.C.
- Introduction
Thank you for that kind introduction. At the outset, let me give the requisite reminder that the views I express today are my own and do not necessarily represent the views of the Commission or its staff.
It is great to be here today. I am excited to speak about a topic that is near and dear to me – financial reporting and accounting fraud, and the SEC’s efforts to combat it. I recently read a New York Timesarticle with a headline about the SEC bringing sexy back and referencing our efforts to combat accounting fraud – I had a hearty chuckle over that. I couldn’t stop laughing about both the idea that the SEC was sexy and that the sexiness was due to a focus on accounting fraud. But I guess it is all about context – you definitely take that kind of press whenever you can get it. Better for the press to be talking about us as sexy than lots of other things.
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Date 30/09/2013
ISDA/IIF/GFMA Response To The BCBS 254 CD: The Non-Internal Model Method For Capitalising Counterparty Credit Risk Exposures
On September 27, the International Swaps and Derivatives Association, Inc. (‘ISDA’), the Institute of International Finance (‘IIF’) and the Global Financial Markets Association (‘GFMA’), responded to the Basel Committee on Banking Supervision (‘BCBS’) Consultative Document ‘The non-internal model method for capitalising counterparty credit risk exposures (NIMM)', dated June 2013.
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