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  • CFTC Releases Final Interpretation On Forward Contracts With Embedded Volumetric Optionality

    Date 12/05/2015

    The U.S. Commodity Futures Trading Commission (CFTC) today released its Final Interpretation on Forward Contracts with Embedded Volumetric Optionality. The interpretation identifies when an agreement, contract, or transaction would fall within the forward contract exclusions from the “swap” and “future delivery” definitions in the Commodity Exchange Act, notwithstanding that it allows for variations in the delivery amount (i.e., contains “embedded volumetric optionality”). The unanimous vote was conducted via seriatim.

  • FINRA's NAC Strengthens Sanction Guidelines For Fraudulent Conduct

    Date 12/05/2015

    The Financial Industry Regulatory Authority (FINRA) today announced that the National Adjudicatory Council’s (NAC) review of its Sanction Guidelines has resulted in a number of significant revisions. In particular, the NAC is amending the overarching principles that apply to sanctions determinations and is revising the Sanction Guidelines to call for tougher sanctions against those who commit fraud or make unsuitable recommendations to customers. The revised Sanction Guidelines now advise FINRA adjudicators to strongly consider barring an individual respondent, or expelling a firm, for cases involving fraud. For individuals who violate FINRA’s suitability rule, the range of the suspension has increased from one year to two years, and adjudicators are advised to strongly consider barring an individual respondent where aggravating factors predominate over mitigating ones.

  • ESMA Chair Steven Maijoor Delivers Keynote Address On Capital Markets Union At The Luxembourg Stock Exchange Day

    Date 12/05/2015

    Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA), delivered a keynote speech at the Luxembourg Stock Exchange Day this evening on the topic of Capital Markets Union.

  • Finansinspektionen - Swedish Financial Supervisory Authority: Better Knowledge And A Ban On Commissions Strengthen Consumer Protection

    Date 12/05/2015

    One Swede in two finds simple percentage calculations difficult, and many do not know how inflation works. At the same time, there are growing demands for an increasing number of people to make difficult decisions about their personal finances. There is thus a great need for independent advice and good, simple information. These are a couple of the conclusions in FI’s new consumer protection report.

  • Moscow Exchange: Risk Parameters Change For The Derivatives Market

    Date 12/05/2015

    As per p.2.5 of Principles of initial margin calculation (approved by NCC Clearing Bank Management Board on the April, 8th 2015) the quantity of settlement periods before the expiration date during which the expiration scenarios are taken into account (N) will be changed to null starting from May, 12th 2015, 19-00 (MSK).

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