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OCC Comment Letter On Notice Of Proposed Rulemaking Regarding Standardized Approach For Calculating The Exposure Amount Of Derivative Contracts

Date 01/03/2019

OCC Comment Letter Regarding Notice of Proposed Rulemaking for the Standardized Approach for Calculating the Exposure Amount of Derivative Contracts
In a February 15 letter to the Board of Governors of the Federal Reserve System, Office of the Comptroller of the Currency, and Federal Deposit Insurance Corporation, OCC commented on the notice of proposed rulemaking regarding the standardized approach for calculating the exposure amount of derivative contracts. While OCC expressed deep appreciation for the proposal addressing its primary concerns, OCC also commented that initial margin should be recognized in the calculation of the leverage ratio. OCC further noted three technical issues that bear further consideration by the banking agencies under the proposal: 1) clearing members should be permitted to net a clearing agent's listed options positions and cleared futures positions for purposes of calculating potential future exposure (PFE), 2) clearing member exposures related to cleared transactions should be calculated based on a minimum risk horizon of five days rather than 10 days, and, 3) the proposal appears to inappropriately restrict offsets for exposures with different reference entities within an equity hedging set; banking organizations should be permitted to decompose exposures for SA-CCR calculation purposes.
SIFMA Comments On Nevada Fiduciary Rule Proposal

Date 01/03/2019

In a comment letter submitted today on a rule proposed by the Nevada Securities Division creating a state fiduciary standard, SIFMA expressed strong concern with the approach taken and urged state regulators to await the conclusion of the rulemaking underway at the Securities and Exchange Commission (SEC) which would create a nationwide, uniform, heightened, best interest standard.
FINRA Foundation Seeks Applicants For Military Spouse Fellowship - Fellows Provide Military Service Members And Their Families With Financial Counseling And Education Services While Earning Professional AFC® Credential

Date 01/03/2019

Starting today, the FINRA Investor Education Foundation Military Spouse Fellowship is accepting applications for its 2019 class of financial FINRA Fellows — a unique program designed to increase the financial capability of U.S. service members and their families.
ICE Benchmark Administration Publishes The Results Of The Survey On The Use Of LIBOR

Date 01/03/2019

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, today announced that ICE Benchmark Administration Limited (IBA) has published the results of its survey on the use of LIBOR currencies and tenors.
CFTC Commitments Of Traders Reports Update

Date 01/03/2019

The current reports for the week of March 1, 2019 are now available.

SEC Celebrates African American History Month With Presentation By Award-Winning Filmmaker

Date 01/03/2019

The Securities and Exchange Commission celebrated African American History Month with events in its Regional Offices and a presentation by scholar and award-winning filmmaker Dr. Henry Louis Gates, Jr. to discuss his latest documentary series, “Reconstruction: America After the Civil War,” at the agency’s headquarters in Washington, D.C. This year’s African American History Month theme, “Black Migrations,” focuses on the movement of African Americans throughout the United States from the early 20th century to today.
Statement Of CFTC Commissioner Dawn D. Stump On Data Protection Initiative

Date 01/03/2019

Commodity Futures Trading Commission (CFTC) Commissioner Dawn D. Stump issued the following statement after announcing a Data Protection Initiative at the Managed Funds Association’s MFA West 2019 Conference:
Alberta Securities Commission Welcomes Two New Commission Members

Date 01/03/2019

The Alberta Securities Commission (ASC) is pleased to announce the Lieutenant Governor in Council has appointed Matthew Bootle, FCA and Gail Harding, Q.C., ICD.D., as members of the ASC, each to three-year terms beginning April 1, 2019.
MiFID II: ESMA Makes Available The Results Of The Annual Transparency Calculations For Equity And Equity-Like Instruments

Date 01/03/2019

The European Securities and Markets Authority (ESMA) has today made available the results of the annual transparency calculations for equity and equity-like instruments.
Nigerian Stock Exchange Weekly Market Report For March 1st 2019

Date 01/03/2019

A total turnover of 1.752 billion shares worth N19.681 billion in 22,319 deals were traded this week by investors on the floor of the Exchange in contrast to a total of 1.481 billion shares valued at N17.647 billion that exchanged hands last week in 20,449 deals